Robert J. Ruppert
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.
Robert Joseph Ruppert, who also goes by Joe Ruppert, Joseph Ruppert, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2007. Robert had worked at 10 firms and has passed the Series 63 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 7, 2014 - August 6, 2014
SPARTAN CAPITAL SECURITIES, LLC
December 2, 2013 - January 21, 2014
BROOKVILLE CAPITAL PARTNERS
June 21, 2013 - November 21, 2013
NETWORK 1 FINANCIAL SECURITIES INC.
November 19, 2012 - July 24, 2013
WOODSTOCK FINANCIAL GROUP, INC.
September 26, 2012 - December 7, 2012
OBSIDIAN FINANCIAL GROUP, LLC
January 13, 2012 - October 3, 2012
ROCKWELL GLOBAL CAPITAL LLC
September 21, 2011 - January 13, 2012
BROOKVILLE CAPITAL PARTNERS
December 1, 2009 - October 3, 2011
ROCKWELL GLOBAL CAPITAL LLC
August 3, 2009 - November 2, 2009
PHD CAPITAL
April 23, 2009 - September 28, 2009
AURA FINANCIAL SERVICES, INC.
December 5, 2008 - January 15, 2009
PRESTIGE FINANCIAL CENTER, INC.
November 4, 2008 - January 6, 2009
BROOKVILLE CAPITAL PARTNERS
October 1, 2007 - October 27, 2008
J.D. NICHOLAS & ASSOCIATES, INC.
August 21, 2007 - October 1, 2007
BROOKVILLE CAPITAL PARTNERS
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.
