Jose M. Colon
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.
Jose Manuel Colon JR, who also goes by Jay Colon, Jose Manuel Colon Jr, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2004. Jose had worked at 8 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
January 12, 2018 - July 25, 2018
SPARTAN CAPITAL SECURITIES, LLC
February 6, 2015 - January 13, 2016
SOUTHEAST INVESTMENTS, N.C., INC.
May 27, 2014 - April 6, 2015
NATIONAL SECURITIES CORPORATION
March 27, 2013 - March 10, 2014
HUNTER SCOTT FINANCIAL LLC.
September 25, 2009 - April 3, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
May 10, 2007 - August 20, 2009
CHASE INVESTMENT SERVICES CORP.
April 27, 2006 - May 4, 2007
HSBC SECURITIES (USA) INC.
August 8, 2005 - April 3, 2006
J.P. MORGAN SECURITIES LLC
April 30, 2004 - June 13, 2005
HUNTER SCOTT FINANCIAL 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
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.
