Carlos A. Hurtado
Professional summary
Carlos Arturo Hurtado was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carlos is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Carlos had worked at 8 firms, which includes SPARTAN CAPITAL SECURITIES LLC, J.H. DARBIE & CO. INC., THINKEQUITY LLC, INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC, INTERNATIONAL ASSETS ADVISORY LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., JOHN THOMAS FINANCIAL.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2018 - June 22, 2021
SPARTAN CAPITAL SECURITIES, LLC
June 10, 2016 - April 26, 2018
J.H. DARBIE & CO., INC.
May 24, 2016 - April 26, 2018
J.H. DARBIE & CO., INC.
April 14, 2015 - May 24, 2016
THINKEQUITY LLC
April 1, 2015 - April 27, 2015
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
April 1, 2015 - April 27, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
October 1, 2012 - March 13, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 13, 2015
J.P. MORGAN SECURITIES LLC
April 3, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 18, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 21, 2010 - April 1, 2010
JOHN THOMAS FINANCIAL
August 2, 2007 - January 21, 2010
THINKEQUITY LLC
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 |
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