Donald Powell
Professional summary
Donald Powell, who also goes by Donald S Powell, Donald Stephan Powell, Donald Stephen Powell, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Donald is registered as a RR (Registered Representative) and started their career in finance in 1999. Donald has worked at 9 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 21, Series 25 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Donald Powell's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2018 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006May 19, 2016 - November 13, 2017
CELADON FINANCIAL GROUP LLC
July 18, 2014 - December 24, 2015
AEGIS CAPITAL CORP.
February 14, 2014 - July 25, 2014
DU PASQUIER & CO., INC.
October 25, 2010 - January 29, 2014
FBN SECURITIES, INC.
January 21, 2010 - August 6, 2010
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 17, 2006 - August 28, 2009
LABRANCHE & CO. LLC
April 23, 2001 - April 7, 2006
BEAR WAGNER SPECIALISTS LLC
October 9, 1999 - April 23, 2001
WSM HOLDINGS, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/2/2023)
(7/30/2020)
(11/29/2021)
(9/7/2022)
(7/30/2020)
(10/18/2019)
(3/3/2025)
(8/7/2023)
(9/21/2022)
(8/25/2023)
(8/25/2023)
(8/4/2023)
(1/22/2020)
(6/9/2021)
(6/9/2021)
(11/29/2018)
(10/13/2018)
(2/17/2021)
(3/31/2022)
(8/4/2025)
(8/25/2023)
(8/4/2023)
(3/4/2024)
(2/10/2025)
(10/24/2023)
Exams
Series 57TO
Date: 3/14/2025
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 6/23/2010
Limited Representative-Equity Trader ExamSeries 21
Date: 4/25/2002
NYSE Front Line Specialist ClerkSeries 25
Date: 11/9/1999
NYSE Trading Assistant ExaminationFINRA
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
