Peter Guerrero
Professional summary
Peter Guerrero, who also goes by Petr Guerrero, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2005. Peter has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Guerrero's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2017 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006April 18, 2016 - May 9, 2017
WINDSOR STREET CAPITAL, LP
July 1, 2010 - May 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2010 - May 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2009 - July 13, 2010
NYLIFE SECURITIES LLC
July 1, 2008 - February 4, 2009
EQUITABLE ADVISORS, LLC
March 22, 2007 - February 4, 2009
EQUITABLE ADVISORS, LLC
November 1, 2005 - August 10, 2006
JOSEPH STEVENS & CO., INC.
September 30, 2005 - October 28, 2005
NATIONAL SECURITIES CORPORATION
August 3, 2005 - October 12, 2005
S.W. BACH & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/4/2025)
(9/5/2025)
(2/22/2018)
(8/29/2025)
(8/28/2017)
(5/11/2023)
(8/28/2025)
(8/28/2025)
(8/28/2025)
(11/10/2022)
(5/9/2023)
(9/10/2018)
(6/6/2018)
(8/28/2025)
(4/23/2018)
(4/24/2023)
(6/2/2017)
(5/16/2017)
(4/19/2018)
(6/30/2023)
(6/5/2017)
(3/21/2018)
(5/18/2020)
(5/16/2017)
(4/12/2024)
(5/16/2017)
(9/10/2025)
(8/3/2018)
(3/27/2024)
Exams
FINRA
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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