Jerry E. Osullivan
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.
Jerry Edmund Osullivan, who also goes by Jerry Osullivan, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 2007. Jerry had worked at 10 firms and has passed the Series 63 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 17, 2014 - July 9, 2014
SPARTAN CAPITAL SECURITIES, LLC
December 17, 2013 - June 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - February 12, 2013
PHX FINANCIAL, INC.
September 5, 2011 - August 15, 2012
NYLIFE SECURITIES LLC
January 19, 2010 - February 25, 2010
GLOBAL ARENA CAPITAL CORP
October 29, 2009 - December 8, 2009
J.D. NICHOLAS & ASSOCIATES, INC.
September 24, 2009 - October 29, 2009
PRUCO SECURITIES, LLC.
May 6, 2009 - August 3, 2009
GLOBAL ARENA CAPITAL CORP
September 17, 2008 - May 29, 2009
CLARK DODGE & CO., INC.
July 25, 2008 - September 16, 2008
JOHN THOMAS FINANCIAL
December 10, 2007 - July 2, 2008
JHS CAPITAL ADVISORS, 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 |
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.
