Barry Jin
Professional summary
Barry Jin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Barry is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Barry had worked at 7 firms, which includes SPARTAN CAPITAL SECURITIES LLC, LAMPERT CAPITAL MARKETS INC., WINDSOR STREET CAPITAL LP, AEGIS CAPITAL CORP., PHX FINANCIAL INC., JOHN CARRIS INVESTMENTS LLC, PHD CAPITAL.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2016 - October 18, 2016
SPARTAN CAPITAL SECURITIES, LLC
December 23, 2015 - April 13, 2016
LAMPERT CAPITAL MARKETS INC.
October 5, 2015 - December 23, 2015
WINDSOR STREET CAPITAL, LP
July 10, 2015 - October 19, 2015
AEGIS CAPITAL CORP.
September 18, 2013 - May 13, 2015
PHX FINANCIAL, INC.
June 29, 2012 - September 24, 2013
JOHN CARRIS INVESTMENTS LLC
May 10, 2007 - July 2, 2012
PHD CAPITAL
State Registrations and Notice Filings
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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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