Erick M. Solano
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.
Erick Milan Solano, who also goes by Erich Solano, was a registered financial professional .
Erick is a previously registered financial professional and started their career in finance in 2002. Erick had worked at 12 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
June 14, 2016 - September 25, 2017
SPARTAN CAPITAL SECURITIES, LLC
August 20, 2013 - June 23, 2014
PHX FINANCIAL, INC.
May 5, 2011 - April 26, 2012
LEGEND MERCHANT GROUP, INC.
October 29, 2010 - March 7, 2011
SPARTAN CAPITAL SECURITIES, LLC
October 13, 2008 - November 10, 2009
SPARTAN CAPITAL SECURITIES, LLC
August 11, 2008 - September 17, 2008
VFINANCE INVESTMENTS, INC
January 10, 2008 - July 24, 2008
WINDSOR STREET CAPITAL, LP
November 2, 2005 - February 1, 2006
ANDREW GARRETT INC.
July 28, 2005 - November 7, 2005
WINDSOR STREET CAPITAL, LP
December 14, 2004 - February 26, 2005
GUNNALLEN FINANCIAL, INC
September 9, 2004 - January 6, 2005
WESTROCK ADVISORS, INC.
November 14, 2003 - September 20, 2004
GUNNALLEN FINANCIAL, INC
August 4, 2003 - September 22, 2003
VISION SECURITIES INC.
March 31, 2003 - August 29, 2003
BERRY-SHINO SECURITIES, INC.
February 3, 2003 - April 2, 2003
SALOMON GREY FINANCIAL CORPORATION
November 21, 2002 - January 10, 2003
HARRISON SECURITIES, INC.
March 8, 2002 - September 4, 2002
HARRISON SECURITIES, 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
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.
