Brian M. Gamard
Professional summary
Brian Michael Gamard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Brian had worked at 5 firms, which includes SPARTAN CAPITAL SECURITIES LLC, JOHN THOMAS FINANCIAL, LAIDLAW & COMPANY (UK) LTD., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2013 - October 1, 2014
SPARTAN CAPITAL SECURITIES, LLC
September 18, 2012 - March 20, 2013
JOHN THOMAS FINANCIAL
July 5, 2007 - March 30, 2012
LAIDLAW & COMPANY (UK) LTD.
January 29, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 29, 2003 - June 27, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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
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