Tory A. Duggins
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.
Tory A Duggins was a registered financial professional .
Tory is a previously registered financial professional and started their career in finance in 2004. Tory had worked at 10 firms and has passed the 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
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
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.
