Nicholas J. Schiano
Professional summary
Nicholas James Schiano was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas James Schiano is a registered financial advisor currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2001. Nicholas has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas James Schiano's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2017 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006November 4, 2016 - September 7, 2017
WORDEN CAPITAL MANAGEMENT LLC
August 23, 2013 - November 9, 2016
LEGEND SECURITIES, INC.
June 20, 2012 - August 30, 2013
JOSEPH GUNNAR & CO. LLC
March 14, 2011 - June 22, 2012
BROOKSTONE SECURITIES, INC.
September 17, 2010 - March 10, 2011
CITIGROUP GLOBAL MARKETS INC.
June 14, 2010 - August 24, 2010
CITIGROUP GLOBAL MARKETS INC.
June 14, 2010 - March 10, 2011
CITIGROUP GLOBAL MARKETS INC.
March 31, 2010 - June 8, 2010
CHASE INVESTMENT SERVICES CORP.
March 28, 2008 - June 8, 2010
CHASE INVESTMENT SERVICES CORP.
May 17, 2007 - April 17, 2008
E*TRADE SECURITIES LLC
August 1, 2006 - April 16, 2007
J.P. TURNER & COMPANY, L.L.C.
May 9, 2005 - August 1, 2006
GUNNALLEN FINANCIAL, INC
May 28, 2004 - May 12, 2005
G&L PARTNERS, INC.
July 17, 2001 - June 7, 2004
G&L PARTNERS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 25
Date: 12/11/2001
NYSE Trading Assistant ExaminationFINRA
Nasdaq Stock Market
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
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