Herbert O. Sontz
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.
Herbert Oscar Sontz, who also goes by Herbert O Sontz, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1971. Herbert had worked at 19 firms and has passed the Series 65, Series 63, Series 55, PC, Series 5, Series 1, Series 24, Series 14, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2011 - May 15, 2014
SPARTAN CAPITAL SECURITIES, LLC
June 1, 2009 - October 19, 2009
SEAPINE SECURITIES, LLC
March 10, 2004 - September 6, 2007
XE CAPITAL SECURITIES LLC
January 15, 2003 - March 8, 2004
BREEZY SECURITIES, INC.
January 24, 2002 - March 8, 2004
RUSHMORE CAPITAL, INC.
January 24, 2002 - March 8, 2004
DOMESTIC SECURITIES, INC.
September 11, 2000 - October 18, 2001
TAFFERER TRADING, LLC
April 30, 1997 - September 12, 2000
EARLYBIRDCAPITAL, INC.
June 25, 1996 - September 11, 2000
SSI SECURITIES CORP.
April 23, 1996 - September 11, 2000
GKN SECURITIES CORP.
October 23, 1995 - November 2, 1995
BROADCORT CAPITAL CORP.
October 23, 1995 - April 17, 1996
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
October 23, 1995 - April 17, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 1995 - January 31, 1996
SMITH BORKUM HARE INC
September 8, 1992 - January 29, 1996
SMITH NEW COURT, INC.
May 27, 1987 - July 2, 1990
REGIONAL CLEARING CORP.
December 26, 1985 - July 2, 1990
REGIONAL CLEARING CORP.
October 1, 1985 - August 25, 1992
GRUNTAL & CO., L.L.C.
August 24, 1973 - October 1, 1985
JII SECURITIES INC.
June 1, 1971 - August 24, 1973
PRESCOTT, BALL & TURBEN
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 55
Date: 1/8/2001
Limited Representative-Equity Trader ExamPC
Date: 11/12/1982
AMEX Put and Call ExamSeries 5
Date: 11/12/1982
Interest Rate Options ExaminationSeries 1
Date: 5/24/1971
Registered Representative ExaminationSeries 12
Date: 12/27/1979
NYSE Branch Manager 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.
