Joseph M. Costabile
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.
Joseph Michael Costabile, who also goes by Joe Costabile, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph 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
October 8, 2018 - October 3, 2019
SPARTAN CAPITAL SECURITIES, LLC
February 16, 2017 - October 19, 2018
WORDEN CAPITAL MANAGEMENT LLC
August 9, 2014 - January 7, 2015
LEGEND SECURITIES, INC.
June 21, 2012 - August 21, 2012
JOSEPH GUNNAR & CO. LLC
October 20, 2011 - June 22, 2012
BROOKSTONE SECURITIES, INC.
October 21, 2009 - March 25, 2011
BROOKSTONE SECURITIES, INC.
December 10, 2007 - July 29, 2008
MERCER CAPITAL LTD.
March 22, 2007 - April 9, 2007
MAX INTERNATIONAL BROKER/DEALER CORP.
October 30, 2006 - December 1, 2006
J.P. TURNER & COMPANY, L.L.C.
August 1, 2006 - September 11, 2006
J.P. TURNER & COMPANY, L.L.C.
June 17, 2004 - August 2, 2006
GUNNALLEN FINANCIAL, INC
May 14, 2004 - July 13, 2004
JOSEPH STEVENS & CO., 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 | 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.
