James H. Busse
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.
James Hans Busse, who also goes by James H Busse, Ames D Bussie, James Hans Bussie, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 8 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
October 26, 2017 - December 22, 2022
SPARTAN CAPITAL SECURITIES, LLC
February 2, 2016 - September 26, 2017
SPARTAN CAPITAL SECURITIES, LLC
January 29, 2016 - February 2, 2016
GARDEN STATE SECURITIES, INC.
October 8, 2014 - January 30, 2016
BLACKBOOK CAPITAL, LLC
April 24, 2014 - October 13, 2014
REALTA EQUITIES, INC.
June 26, 2012 - May 23, 2014
JOHN CARRIS INVESTMENTS LLC
September 14, 2009 - June 25, 2012
PHD CAPITAL
August 6, 2009 - October 2, 2009
PRESTIGE FINANCIAL CENTER, INC.
February 2, 2009 - May 8, 2009
PRESTIGE FINANCIAL CENTER, INC.
October 2, 2007 - January 22, 2009
LAIDLAW & COMPANY (UK) LTD.
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.
