Charles B. Banks
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.
Charles Bradford Banks, who also goes by Bradford Banks, C Bradford Banks, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 2002. Charles had worked at 11 firms and has passed the Series 65, 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
November 6, 2020 - February 16, 2022
SPARTAN CAPITAL SECURITIES, LLC
August 16, 2018 - November 9, 2018
SW FINANCIAL
October 2, 2015 - March 16, 2017
CHELSEA FINANCIAL SERVICES
April 13, 2015 - October 30, 2015
LEGEND FINANCIAL MANAGEMENT
May 16, 2013 - October 1, 2015
LEGEND SECURITIES, INC.
April 24, 2012 - May 15, 2013
PORTFOLIO ADVISORS ALLIANCE, LLC
January 9, 2008 - April 12, 2010
WINDSOR STREET CAPITAL, LP
February 12, 2007 - February 5, 2008
AVALON PARTNERS, INC.
January 8, 2007 - February 8, 2007
BRILL SECURITIES, INC.
October 20, 2003 - January 9, 2007
GREAT EASTERN SECURITIES, INC.
December 16, 2002 - October 16, 2003
CONTINENTAL BROKER-DEALER 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
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.
