Jovannie Aquino
Professional summary
Jovannie Aquino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jovannie is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Jovannie had worked at 12 firms, which includes SPARTAN CAPITAL SECURITIES LLC, WINDSOR STREET CAPITAL LP, JOHN CARRIS INVESTMENTS LLC, JOHN THOMAS FINANCIAL, ROCKWELL GLOBAL CAPITAL LLC, NATIONAL SECURITIES CORPORATION, J.P. TURNER & COMPANY L.L.C., BANC OF AMERICA INVESTMENT SERVICES INC., VFINANCE INVESTMENTS INC, AVALON PARTNERS INC., HALLMARK INVESTMENTS INC., GUNNALLEN FINANCIAL INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2017 - September 11, 2018
SPARTAN CAPITAL SECURITIES, LLC
May 29, 2014 - November 17, 2017
WINDSOR STREET CAPITAL, LP
March 12, 2014 - June 1, 2014
JOHN CARRIS INVESTMENTS LLC
November 29, 2011 - April 5, 2012
JOHN THOMAS FINANCIAL
August 15, 2011 - December 2, 2011
ROCKWELL GLOBAL CAPITAL LLC
July 26, 2010 - September 2, 2011
NATIONAL SECURITIES CORPORATION
January 25, 2008 - August 3, 2010
J.P. TURNER & COMPANY, L.L.C.
December 1, 2006 - September 25, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 23, 2006 - September 19, 2006
VFINANCE INVESTMENTS, INC
January 6, 2006 - June 12, 2006
AVALON PARTNERS, INC.
October 13, 2005 - December 21, 2005
HALLMARK INVESTMENTS, INC.
March 29, 2005 - November 8, 2005
GUNNALLEN FINANCIAL, INC
December 3, 2004 - August 17, 2005
AVALON PARTNERS, 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
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