Franz H. Lambert
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.
Franz Helmut Lambert, who also goes by Franz Helmut Lambert II, Franz Lambert, Franz Helmut Lambert Ii, Franz Lambert Ii, was a registered financial professional .
Franz is a previously registered financial professional and started their career in finance in 2002. Franz had worked at 16 firms and has passed the Series 66, Series 63, Series 7TO, 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
December 13, 2019 - October 25, 2021
SPARTAN CAPITAL SECURITIES, LLC
November 4, 2016 - December 17, 2019
WORDEN CAPITAL MANAGEMENT LLC
February 2, 2016 - November 9, 2016
LEGEND SECURITIES, INC.
October 5, 2015 - February 3, 2016
DAWSON JAMES SECURITIES, INC.
November 21, 2013 - October 1, 2015
LAIDLAW & COMPANY (UK) LTD.
May 21, 2013 - November 21, 2013
CLARK DODGE & CO., INC.
November 16, 2011 - May 20, 2013
JOHN THOMAS FINANCIAL
August 28, 2009 - September 1, 2010
PAULSON INVESTMENT COMPANY LLC
February 18, 2009 - August 14, 2009
JESUP & LAMONT SECURITIES CORP
January 23, 2008 - February 13, 2009
VFINANCE INVESTMENTS, INC
January 2, 2008 - January 24, 2008
BROAD STREET SECURITIES, INC.
November 30, 2006 - December 31, 2007
INVESTORS CAPITAL CORP.
May 8, 2006 - December 13, 2006
BROOKSHIRE SECURITIES CORPORATION
November 29, 2004 - April 28, 2006
NEWBRIDGE SECURITIES CORPORATION
September 30, 2003 - May 18, 2004
LADENBURG THALMANN & CO. INC.
January 22, 2002 - May 14, 2004
GLOBAL TRADING GROUP, 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
Series 7TO
Date: 12/2/2022
General Securities Representative ExaminationCurrent 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.
