Harold S. Jones
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.
Harold Steve Jones JR., who also goes by Harold Steve Jones, Harold Steve Jones Jr, Harold Steve Jones Jr., was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 2003. Harold had worked at 11 firms and has passed the Series 63, SIE 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
July 26, 2018 - May 12, 2023
SPARTAN CAPITAL SECURITIES, LLC
May 21, 2018 - August 28, 2018
JOSEPH STONE CAPITAL L.L.C.
October 15, 2015 - May 31, 2018
WINDSOR STREET CAPITAL, LP
August 18, 2015 - October 8, 2015
REID & RUDIGER LLC
July 30, 2015 - September 9, 2015
BLACKBOOK CAPITAL, LLC
March 20, 2015 - July 20, 2015
ALEXANDER CAPITAL, L.P.
March 14, 2013 - April 13, 2015
GLOBAL ARENA CAPITAL CORP
August 29, 2012 - January 9, 2013
AEGIS CAPITAL CORP.
August 5, 2009 - July 2, 2012
REID & RUDIGER LLC
April 24, 2009 - August 11, 2009
SCOTTSDALE CAPITAL ADVISORS CORP
November 26, 2008 - April 21, 2009
NEWBRIDGE SECURITIES CORPORATION
May 16, 2003 - October 27, 2008
EASTBROOK CAPITAL GROUP LLC
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
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.
