Kenny Gonzalez
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.
Kenny Gonzalez, who also goes by Kenny Gallardo, was a registered financial professional .
Kenny is a previously registered financial professional and started their career in finance in 2006. Kenny had worked at 12 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
January 15, 2019 - May 27, 2022
SPARTAN CAPITAL SECURITIES, LLC
October 13, 2016 - December 12, 2018
NEWBRIDGE SECURITIES CORPORATION
November 3, 2015 - March 11, 2016
SPARTAN CAPITAL SECURITIES, LLC
April 28, 2014 - December 4, 2015
CRAIG SCOTT CAPITAL, LLC
January 7, 2014 - May 2, 2014
BLACKBOOK CAPITAL, LLC
May 30, 2013 - January 13, 2014
HOLD BROTHERS CAPITAL LLC
October 1, 2012 - May 23, 2013
PHX FINANCIAL, INC.
June 11, 2012 - August 16, 2012
E1 ASSET MANAGEMENT, INC.
October 31, 2011 - January 10, 2012
DIMENSION TRADING GROUP, LLC
December 8, 2009 - June 9, 2011
CHASE INVESTMENT SERVICES CORP.
July 25, 2008 - April 30, 2009
JOHN THOMAS FINANCIAL
March 5, 2007 - July 2, 2008
JHS CAPITAL ADVISORS, LLC
March 29, 2006 - March 7, 2007
NATIONAL SECURITIES CORPORATION
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.
