Christopher G. Orlando
Professional summary
Christopher George Orlando was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Christopher had worked at 10 firms, which includes SPARTAN CAPITAL SECURITIES LLC, ST. BERNARD FINANCIAL SERVICES INC., WORDEN CAPITAL MANAGEMENT LLC, LEGEND SECURITIES INC., NATIONAL SECURITIES CORPORATION, JOSEPH GUNNAR & CO. LLC, BROOKSTONE SECURITIES INC., J.P. TURNER & COMPANY L.L.C., GUNNALLEN FINANCIAL INC, JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2020 - May 27, 2021
SPARTAN CAPITAL SECURITIES, LLC
December 16, 2019 - January 2, 2020
ST. BERNARD FINANCIAL SERVICES, INC.
November 4, 2016 - December 17, 2019
WORDEN CAPITAL MANAGEMENT LLC
July 22, 2015 - November 9, 2016
LEGEND SECURITIES, INC.
December 16, 2013 - July 17, 2015
NATIONAL SECURITIES CORPORATION
June 20, 2012 - December 17, 2013
JOSEPH GUNNAR & CO. LLC
October 20, 2009 - June 22, 2012
BROOKSTONE SECURITIES, INC.
August 1, 2006 - November 2, 2009
J.P. TURNER & COMPANY, L.L.C.
August 22, 2005 - August 1, 2006
GUNNALLEN FINANCIAL, INC
December 5, 2002 - August 31, 2005
JOSEPH STEVENS & CO., 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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 |
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