Nick Papavgeris
Professional summary
Nick Papavgeris, who also goes by Nick Papavgeris, Nicholas Papavgeris, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Nick is registered as a RR (Registered Representative) and started their career in finance in 1999. Nick 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 Nick Papavgeris's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2023 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006January 21, 2020 - January 30, 2023
AEGIS CAPITAL CORP.
November 21, 2012 - February 22, 2020
SPARTAN CAPITAL SECURITIES, LLC
August 24, 2012 - December 7, 2012
OBSIDIAN FINANCIAL GROUP, LLC
August 19, 2010 - September 11, 2012
JOHN THOMAS FINANCIAL
February 4, 2008 - August 20, 2010
PRESTIGE FINANCIAL CENTER, INC.
February 9, 2006 - February 4, 2008
NEWBRIDGE SECURITIES CORPORATION
May 7, 2003 - February 9, 2006
GUNNALLEN FINANCIAL, INC
January 4, 2002 - June 2, 2003
HARRISON SECURITIES, INC.
December 4, 2001 - December 12, 2001
ARISTATRADE SECURITIES, LLC
October 15, 1999 - November 20, 2001
LADENBURG CAPITAL MANAGEMENT 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
(4/12/2023)
(7/10/2023)
(4/3/2023)
(6/20/2023)
(4/4/2023)
(8/7/2023)
(3/7/2024)
(9/25/2023)
(4/4/2023)
(7/20/2023)
(8/4/2023)
(7/11/2023)
(9/15/2025)
(6/16/2023)
(7/6/2023)
(7/11/2023)
(3/6/2024)
(4/8/2023)
(10/2/2023)
(4/3/2023)
(8/4/2023)
(7/7/2023)
(1/6/2025)
(4/3/2023)
(6/16/2023)
(4/4/2023)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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