Henry J. Accarino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Henry J Accarino, who also goes by Henry J. Accarino, Henry Joseph Accarino, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 2000. Henry had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2016 - April 20, 2017
SPARTAN CAPITAL SECURITIES, LLC
April 11, 2013 - June 10, 2016
LEGEND FINANCIAL MANAGEMENT
May 13, 2010 - April 28, 2016
LEGEND SECURITIES, INC.
June 1, 2009 - June 11, 2010
MORGAN STANLEY
June 1, 2009 - June 11, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
March 3, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 27, 2004 - March 17, 2006
CITIGROUP GLOBAL MARKETS INC.
June 21, 2000 - April 27, 2004
DIRECT BROKERAGE, 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 25
Date: 1/15/2003
NYSE Trading Assistant 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 |
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.
