Charles Gonzalez
Professional summary
Charles Gonzalez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Charles had worked at 15 firms, which includes SPARTAN CAPITAL SECURITIES LLC, NEWBRIDGE SECURITIES CORPORATION, AVENIR FINANCIAL GROUP, VFINANCE INVESTMENTS INC, BRILL SECURITIES INC., MAXIMUM FINANCIAL INVESTMENT GROUP INC., PRESTIGE FINANCIAL CENTER INC., GREAT EASTERN SECURITIES INC., MERCER CAPITAL LTD., NATIONAL SECURITIES CORPORATION, LEGEND MERCHANT GROUP INC., BERRY-SHINO SECURITIES INC., EKN FINANCIAL SERVICES INC., BERNARD LEE & EDWARDS SECURITIES INC, MILLENNIUM SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2017 - January 30, 2018
SPARTAN CAPITAL SECURITIES, LLC
March 24, 2016 - January 10, 2017
NEWBRIDGE SECURITIES CORPORATION
October 22, 2012 - March 12, 2016
AVENIR FINANCIAL GROUP
October 14, 2008 - August 3, 2012
VFINANCE INVESTMENTS, INC
June 27, 2008 - October 16, 2008
BRILL SECURITIES, INC.
August 7, 2007 - June 26, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
January 11, 2007 - August 2, 2007
PRESTIGE FINANCIAL CENTER, INC.
October 4, 2005 - January 12, 2007
GREAT EASTERN SECURITIES, INC.
April 25, 2005 - September 16, 2005
MERCER CAPITAL LTD.
August 18, 2004 - February 15, 2005
NATIONAL SECURITIES CORPORATION
May 20, 2004 - July 15, 2004
LEGEND MERCHANT GROUP, INC.
November 20, 2003 - April 1, 2004
NATIONAL SECURITIES CORPORATION
March 31, 2003 - December 9, 2003
BERRY-SHINO SECURITIES, INC.
May 7, 2002 - March 12, 2003
EKN FINANCIAL SERVICES INC.
May 30, 2001 - May 10, 2002
BERNARD, LEE & EDWARDS SECURITIES, INC
January 12, 2001 - June 15, 2001
MILLENNIUM SECURITIES CORP.
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
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
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