Richard J. Perlongo
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.
Richard Joseph Perlongo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 9 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
August 15, 2017 - March 10, 2026
SPARTAN CAPITAL SECURITIES, LLC
November 4, 2016 - September 7, 2017
WORDEN CAPITAL MANAGEMENT LLC
August 23, 2013 - November 9, 2016
LEGEND SECURITIES, INC.
June 21, 2012 - August 30, 2013
JOSEPH GUNNAR & CO. LLC
November 18, 2009 - June 22, 2012
BROOKSTONE SECURITIES, INC.
April 15, 2009 - November 9, 2009
J.P. TURNER & COMPANY, L.L.C.
November 9, 2006 - May 8, 2009
NATIONAL SECURITIES CORPORATION
September 27, 2006 - November 3, 2006
WINDSOR STREET CAPITAL, LP
March 20, 2006 - September 22, 2006
NATIONAL SECURITIES CORPORATION
June 1, 2005 - March 6, 2006
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.
