Robert N. Rotunno
Professional summary
Robert Nicholas Rotunno is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Nicholas Rotunno's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 17, 2023 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006December 3, 2021 - May 11, 2023
SW FINANCIAL
December 10, 2019 - October 8, 2021
WORDEN CAPITAL MANAGEMENT LLC
January 24, 2019 - December 13, 2019
TIGRESS FINANCIAL PARTNERS, LLC
January 13, 2016 - January 14, 2019
NATIONAL SECURITIES CORPORATION
August 23, 2004 - February 3, 2016
LAIDLAW & COMPANY (UK) LTD.
April 2, 2002 - August 23, 2004
SANDS BROTHERS & CO., LTD.
January 9, 2001 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
May 12, 2000 - December 21, 2000
W.A. CAPITAL MARKETS
October 6, 1999 - May 15, 2000
AMERICAN INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/17/2023)
(5/17/2023)
(5/17/2023)
(5/17/2023)
(8/27/2024)
(5/17/2023)
(8/24/2023)
(5/17/2023)
(5/17/2023)
(5/31/2023)
(2/20/2024)
(5/17/2023)
(5/17/2023)
(5/17/2023)
(5/24/2023)
(6/26/2023)
(5/17/2023)
(5/26/2023)
(5/17/2023)
(12/12/2024)
(10/15/2024)
Exams
FINRA
Nasdaq Stock Market
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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