Arismendy Abreu
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.
Arismendy Abreu, who also goes by Aris Abreu, was a registered financial professional .
Arismendy is a previously registered financial professional and started their career in finance in 2007. Arismendy had worked at 11 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
June 7, 2016 - July 21, 2016
SPARTAN CAPITAL SECURITIES, LLC
October 5, 2015 - February 26, 2016
ARIVE CAPITAL MARKETS
August 29, 2014 - June 11, 2015
ALLIED MILLENNIAL PARTNERS, LLC
February 6, 2014 - April 15, 2014
JOHN CARRIS INVESTMENTS LLC
November 21, 2013 - March 4, 2014
LAIDLAW & COMPANY (UK) LTD.
November 6, 2013 - November 21, 2013
CLARK DODGE & CO., INC.
May 17, 2013 - October 24, 2013
CLARK DODGE & CO., INC.
April 11, 2013 - May 20, 2013
JOHN THOMAS FINANCIAL
December 6, 2012 - April 12, 2013
LEGEND SECURITIES, INC.
August 1, 2012 - November 29, 2012
AEGIS CAPITAL CORP.
January 9, 2012 - April 5, 2012
J.P. TURNER & COMPANY, L.L.C.
May 25, 2010 - August 4, 2010
JHS CAPITAL ADVISORS, LLC
November 9, 2007 - April 26, 2010
J.P. TURNER & COMPANY, L.L.C.
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 |
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.
