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Thomas J. Baumann

Some features on this profile are disabled
CRD#: 5254392
TB

Professional summary

Thomas James Baumann was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Thomas had worked at 4 firms, which includes SPARTAN CAPITAL SECURITIES LLC, ROCKWELL GLOBAL CAPITAL LLC, BROOKSTONE SECURITIES INC., JHS CAPITAL ADVISORS LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 22, 2013 - March 2, 2022

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

October 5, 2010 - February 1, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

May 26, 2010 - October 4, 2010

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
UNIONDALE, NY
Past

May 21, 2010 - May 25, 2010

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

September 17, 2007 - May 21, 2010

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
BETHPAGE, NY
Past

February 12, 2007 - April 11, 2007

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2007
General Securities Representative Examination

Current Firm

SC
SPARTAN CAPITAL SECURITIES, LLC
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251 / SEC#: , 8-67801

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
45 Broadway 19th Floor, New York, NY 10006
Mailing Address
45 Broadway 19th Floor, New York, NY 10006
Phone number
(212) 293-0123
Established
New York since 06/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPARTAN CAPITAL HOLDINGS, LLCOWNER
BASIS, THEOLOGOS STAVROSCHIEF COMPLIANCE OFFICER / AML OFFICER2574740
DACOSTA, MAURICE MICHAELCFO / FINOP5500926
HEILPERN, GERALD MARTINMUNICIPAL SECURITIES PRINCIPAL241803
LOWRY, JOHN DENNISCEO/MANAGING MEMBER4336146
MONCHIK, KIM MARIECAO
SNOOZY, MARK JAMESROSFP2822325

Disclosures

Regulatory Event10
Civil Event1
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

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