Evan M. Stern
Professional summary
Evan Marshall Stern is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Evan is registered as a RR (Registered Representative) and started their career in finance in 2005. Evan has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Evan Marshall Stern's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2023 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006October 6, 2021 - May 11, 2023
SW FINANCIAL
December 3, 2019 - October 11, 2021
WORDEN CAPITAL MANAGEMENT LLC
August 5, 2019 - December 16, 2019
LAIDLAW & COMPANY (UK) LTD.
February 22, 2017 - July 22, 2019
NATIONAL SECURITIES CORPORATION
August 10, 2005 - March 16, 2017
LAIDLAW & COMPANY (UK) LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/16/2023)
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(2/20/2024)
(5/16/2023)
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(8/16/2023)
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(9/25/2024)
(5/16/2023)
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(9/25/2024)
(5/16/2023)
(5/24/2023)
(5/16/2023)
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(5/17/2023)
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(5/26/2023)
(5/16/2023)
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(5/16/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
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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