Patrick J. Cavanagh
Professional summary
Patrick Joseph Cavanagh was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patrick Joseph Cavanagh, who also goes by Patrick Joseph Cavanagh Jr, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2006. Patrick had worked at 6 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
March 28, 2019 - February 2, 2022
SPARTAN CAPITAL SECURITIES, LLC
January 19, 2018 - July 16, 2018
NATIONAL SECURITIES CORPORATION
September 20, 2016 - October 10, 2017
PHX FINANCIAL, INC.
February 3, 2016 - October 18, 2016
NATIONAL SECURITIES CORPORATION
January 10, 2013 - February 27, 2016
SPARTAN CAPITAL SECURITIES, LLC
July 30, 2012 - January 15, 2013
JOHN THOMAS FINANCIAL
June 21, 2010 - November 29, 2011
JOHN THOMAS FINANCIAL
November 2, 2009 - July 16, 2010
PRESTIGE FINANCIAL CENTER, INC.
January 4, 2008 - June 25, 2008
EMPIRE ASSET MANAGEMENT COMPANY
November 20, 2006 - April 11, 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 | 8 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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