JL
John D. Lowry
SPARTAN CAPITAL SECURITIES
New York, NY 10006
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CRD#: 4336146
JL
Professional summary
John Dennis Lowry is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view John Dennis Lowry's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 10, 2008 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006Office #2: 45 Broadway 19th Floor, New York, NY 10006BD
CRD#: 146251
New York, NY
Past
January 3, 2007 - August 5, 2008
GARDEN STATE SECURITIES, INC.
BD
CRD#: 10083
NEW YORK, NY
Past
January 26, 2001 - January 30, 2007
THINKEQUITY LLC
BD
CRD#: 20996
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/8/2008)
RR
Alaska(8/8/2008)
RR
Arizona(8/8/2008)
RR
Arkansas(8/21/2008)
RR
California(7/11/2008)
RR
Colorado(7/18/2008)
RR
Connecticut(8/6/2008)
RR
Delaware(7/31/2008)
RR
District of Columbia(8/8/2008)
RR
Florida(10/9/2008)
RR
Georgia(7/17/2008)
RR
Hawaii(8/8/2008)
RR
Idaho(7/14/2008)
RR
Illinois(7/14/2008)
RR
Indiana(8/15/2008)
RR
Iowa(8/8/2008)
RR
Kansas(8/14/2008)
RR
Kentucky(8/8/2008)
RR
Louisiana(8/8/2008)
RR
Maine(10/16/2008)
RR
Maryland(7/31/2008)
RR
Massachusetts(7/18/2008)
RR
Michigan(8/8/2008)
RR
Minnesota(8/8/2008)
RR
Mississippi(7/11/2008)
RR
Missouri(9/19/2008)
RR
Montana(7/25/2008)
RR
Nebraska(8/8/2008)
RR
Nevada(8/8/2008)
RR
New Hampshire(9/11/2008)
RR
New Jersey(8/28/2008)
RR
New Mexico(9/22/2008)
RR
New York(7/11/2008)
RR
North Carolina(8/13/2008)
RR
North Dakota(7/30/2008)
RR
Ohio(8/11/2008)
RR
Oklahoma(7/21/2008)
RR
Pennsylvania(8/8/2008)
RR
Puerto Rico(9/10/2008)
RR
Rhode Island(7/21/2008)
RR
South Carolina(8/8/2008)
RR
South Dakota(8/8/2008)
RR
Tennessee(12/19/2008)
RR
Texas(7/15/2008)
RR
Utah(8/8/2008)
RR
Vermont(10/8/2008)
RR
Virginia(8/8/2008)
RR
Washington(7/14/2008)
RR
West Virginia(8/21/2008)
RR
Wisconsin(8/8/2008)
RR
Wyoming(8/6/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SC
SPARTAN CAPITAL SECURITIES, LLC
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Broadway 19th Floor, New York, NY 10006
Mailing Address
45 Broadway 19th Floor, New York, NY 10006
Phone number
(212) 293-0123
Established
New York since 06/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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.
