PM
Peter J. Malone
SPARTAN CAPITAL SECURITIES
New York, NY 10006
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CRD#: 4412447
PM
Professional summary
Peter James Malone is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2001. Peter has worked at 7 firms and has passed the Series 63, SIE and Series 7 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 Peter James Malone'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
May 16, 2023 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006BD
CRD#: 146251
New York, NY
Past
October 6, 2021 - May 11, 2023
SW FINANCIAL
BD
CRD#: 145012
NEW YORK, NY
Past
November 29, 2019 - October 8, 2021
WORDEN CAPITAL MANAGEMENT LLC
BD
CRD#: 148366
New York, NY
Past
February 22, 2017 - December 10, 2019
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
August 23, 2004 - March 16, 2017
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
NEW YORK, NY
Past
April 2, 2002 - August 23, 2004
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
Past
June 21, 2001 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
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(5/31/2023)
RR
Arizona(5/16/2023)
RR
Arkansas(10/23/2023)
RR
California(5/16/2023)
RR
Colorado(6/14/2023)
RR
Connecticut(5/16/2023)
RR
Delaware(12/22/2023)
RR
District of Columbia(8/28/2024)
RR
Florida(5/16/2023)
RR
Georgia(5/16/2023)
RR
Idaho(9/6/2023)
RR
Illinois(9/5/2023)
RR
Iowa(5/16/2023)
RR
Kansas(5/16/2023)
RR
Kentucky(6/20/2023)
RR
Louisiana(6/12/2023)
RR
Maine(6/20/2023)
RR
Maryland(5/16/2023)
RR
Massachusetts(6/30/2023)
RR
Michigan(6/6/2023)
RR
Minnesota(5/31/2023)
RR
Montana(10/25/2023)
RR
Nebraska(10/7/2024)
RR
Nevada(5/16/2023)
RR
New Jersey(5/31/2023)
RR
New Mexico(5/16/2023)
RR
New York(5/16/2023)
RR
North Carolina(5/31/2023)
RR
North Dakota(9/4/2023)
RR
Ohio(5/16/2023)
RR
Oklahoma(5/16/2023)
RR
Oregon(12/10/2024)
RR
Pennsylvania(5/16/2023)
RR
Rhode Island(5/16/2023)
RR
South Carolina(5/16/2023)
RR
Tennessee(6/6/2023)
RR
Texas(6/21/2023)
RR
Utah(6/15/2023)
RR
Vermont(10/11/2024)
RR
Virginia(7/3/2023)
RR
Washington(5/16/2023)
RR
Wisconsin(8/25/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
