Michael J. Giovannelli
Professional summary
Michael John Giovannelli was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Michael had worked at 12 firms, which includes SPARTAN CAPITAL SECURITIES LLC, RICHARD JAMES & ASSOCIATES INC., SW FINANCIAL, LEGEND SECURITIES INC., BROOKVILLE CAPITAL PARTNERS, NATIONAL SECURITIES CORPORATION, WOODSTOCK FINANCIAL GROUP INC., BROOKSTONE SECURITIES INC., J.P. TURNER & COMPANY L.L.C., FIRST MIDWEST SECURITIES INC., MAX INTERNATIONAL BROKER/DEALER CORP., WORLD EQUITY GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2019 - August 28, 2020
SPARTAN CAPITAL SECURITIES, LLC
May 1, 2017 - April 26, 2019
RICHARD JAMES & ASSOCIATES, INC.
August 25, 2015 - May 3, 2017
SW FINANCIAL
April 20, 2015 - August 25, 2015
LEGEND SECURITIES, INC.
January 29, 2014 - March 16, 2015
BROOKVILLE CAPITAL PARTNERS
April 15, 2013 - January 28, 2014
NATIONAL SECURITIES CORPORATION
January 28, 2011 - April 25, 2013
WOODSTOCK FINANCIAL GROUP, INC.
April 6, 2009 - January 4, 2011
BROOKSTONE SECURITIES, INC.
December 17, 2008 - April 13, 2009
J.P. TURNER & COMPANY, L.L.C.
October 14, 2008 - December 22, 2008
NATIONAL SECURITIES CORPORATION
August 3, 2007 - August 28, 2008
FIRST MIDWEST SECURITIES, INC.
March 23, 2007 - August 8, 2007
NATIONAL SECURITIES CORPORATION
November 28, 2006 - March 21, 2007
MAX INTERNATIONAL BROKER/DEALER CORP.
February 10, 2006 - December 2, 2006
WORLD EQUITY GROUP, 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
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