Michael J. Resciniti
Professional summary
Michael James Resciniti was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Michael had worked at 17 firms, which includes SPARTAN CAPITAL SECURITIES LLC, FIRST STANDARD FINANCIAL COMPANY LLC, LAIDLAW & COMPANY (UK) LTD., ROCKWELL GLOBAL CAPITAL LLC, AURA FINANCIAL SERVICES INC., J.D. NICHOLAS & ASSOCIATES INC., BROOKVILLE CAPITAL PARTNERS, J.P. TURNER & COMPANY L.L.C., VISION SECURITIES INC., MILESTONE FINANCIAL SERVICES INC., LH ROSS & COMPANY INC., GRANITE ASSOCIATES INC, CONTINENTAL BROKER-DEALER CORP., GUNNALLEN FINANCIAL INC, HARRISON SECURITIES INC., GILFORD SECURITIES INCORPORATED, GLOBAL CAPITAL SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2016 - February 28, 2018
SPARTAN CAPITAL SECURITIES, LLC
January 29, 2016 - July 15, 2016
FIRST STANDARD FINANCIAL COMPANY LLC
January 7, 2015 - February 26, 2016
LAIDLAW & COMPANY (UK) LTD.
August 13, 2009 - January 23, 2015
ROCKWELL GLOBAL CAPITAL LLC
September 19, 2008 - August 20, 2009
AURA FINANCIAL SERVICES, INC.
March 12, 2008 - October 6, 2008
J.D. NICHOLAS & ASSOCIATES, INC.
October 12, 2006 - March 20, 2008
BROOKVILLE CAPITAL PARTNERS
July 12, 2006 - October 17, 2006
J.P. TURNER & COMPANY, L.L.C.
November 16, 2005 - June 23, 2006
VISION SECURITIES INC.
February 7, 2005 - December 13, 2005
MILESTONE FINANCIAL SERVICES, INC.
December 1, 2004 - March 4, 2005
J.P. TURNER & COMPANY, L.L.C.
August 19, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
July 9, 2004 - August 11, 2004
LH ROSS & COMPANY, INC.
January 6, 2004 - July 8, 2004
GRANITE ASSOCIATES, INC
May 20, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
December 2, 2002 - June 18, 2003
GUNNALLEN FINANCIAL, INC
July 10, 2001 - December 2, 2002
HARRISON SECURITIES, INC.
May 22, 2001 - July 5, 2001
GILFORD SECURITIES INCORPORATED
November 21, 2000 - June 12, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPARTAN CAPITAL HOLDINGS, LLC | OWNER | |
| BASIS, THEOLOGOS STAVROS | CHIEF COMPLIANCE OFFICER / AML OFFICER | 2574740 |
| DACOSTA, MAURICE MICHAEL | CFO / FINOP | 5500926 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| LOWRY, JOHN DENNIS | CEO/MANAGING MEMBER | 4336146 |
| MONCHIK, KIM MARIE | CAO | |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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