Tory A. Duggins
Professional summary
Tory A Duggins was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tory is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Tory had worked at 10 firms, which includes SPARTAN CAPITAL SECURITIES LLC, AVENIR FINANCIAL GROUP, NATIONAL SECURITIES CORPORATION, VFINANCE INVESTMENTS INC, BRILL SECURITIES INC., MAXIMUM FINANCIAL INVESTMENT GROUP INC., PRESTIGE FINANCIAL CENTER INC., GREAT EASTERN SECURITIES INC., MERCER CAPITAL LTD., WINDSOR STREET CAPITAL LP.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2016 - January 31, 2024
SPARTAN CAPITAL SECURITIES, LLC
January 30, 2014 - March 11, 2016
AVENIR FINANCIAL GROUP
November 16, 2012 - January 31, 2014
NATIONAL SECURITIES CORPORATION
October 14, 2008 - December 19, 2012
VFINANCE INVESTMENTS, INC
June 26, 2008 - October 16, 2008
BRILL SECURITIES, INC.
August 7, 2007 - June 26, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
January 11, 2007 - August 7, 2007
PRESTIGE FINANCIAL CENTER, INC.
October 11, 2005 - January 12, 2007
GREAT EASTERN SECURITIES, INC.
June 29, 2005 - November 9, 2005
MERCER CAPITAL LTD.
September 29, 2004 - July 25, 2005
WINDSOR STREET CAPITAL, LP
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 | 10 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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