Alissa N. Raineri
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.
Alissa N Raineri, who also goes by Alissa Nicole Raineri, was a registered financial professional .
Alissa is a previously registered financial professional and started their career in finance in 2004. Alissa had worked at 7 firms and has passed the Series 66, 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
March 10, 2017 - May 23, 2017
SPARTAN CAPITAL SECURITIES, LLC
March 19, 2015 - June 5, 2015
NATIONAL SECURITIES CORPORATION
October 14, 2010 - March 23, 2015
JOSEPH GUNNAR & CO. LLC
October 8, 2010 - March 23, 2015
JOSEPH GUNNAR & CO. LLC
January 16, 2008 - October 6, 2010
J.P. MORGAN SECURITIES LLC
October 1, 2007 - October 6, 2010
J.P. MORGAN SECURITIES LLC
August 29, 2007 - September 13, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2007 - September 13, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 2005 - May 14, 2007
WESTROCK ADVISORS, INC.
September 8, 2004 - February 8, 2005
MCGINN, SMITH & 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 | 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.
