Michael J. Maiure
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.
Michael James Maiure was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - October 7, 2016
SPARTAN CAPITAL SECURITIES, LLC
February 3, 2011 - November 7, 2014
SPARTAN CAPITAL SECURITIES, LLC
December 20, 2010 - February 3, 2011
BROOKSTONE SECURITIES, INC.
January 22, 2009 - December 21, 2010
SPARTAN CAPITAL SECURITIES, LLC
May 30, 2007 - August 22, 2007
JOSEPH GUNNAR & CO. LLC
October 10, 2006 - January 19, 2007
PRESTIGE FINANCIAL CENTER, INC.
October 21, 2005 - November 3, 2006
GREAT EASTERN SECURITIES, INC.
May 2, 2005 - November 8, 2005
BENSON YORK GROUP, INC.
March 15, 2005 - March 31, 2005
GUNNALLEN FINANCIAL, INC
August 27, 2004 - March 3, 2005
GRANITE ASSOCIATES, INC
March 23, 2004 - September 1, 2004
GUNNALLEN FINANCIAL, 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
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.
