Ryan T. Penchenski
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.
Ryan Travis Penchenski was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2007. Ryan had worked at 11 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
February 10, 2016 - February 6, 2018
SPARTAN CAPITAL SECURITIES, LLC
June 16, 2014 - November 20, 2015
BLACKBOOK CAPITAL, LLC
April 24, 2014 - June 1, 2014
JOHN CARRIS INVESTMENTS LLC
February 21, 2012 - April 23, 2012
CAPE SECURITIES INC.
October 7, 2011 - December 5, 2011
ROCKWELL GLOBAL CAPITAL LLC
November 8, 2010 - February 22, 2011
BROOKVILLE CAPITAL PARTNERS
July 7, 2010 - October 19, 2010
CHARLES MORGAN SECURITIES, INC.
November 13, 2009 - May 20, 2010
REID & RUDIGER LLC
July 31, 2009 - August 20, 2009
JOHN THOMAS FINANCIAL
March 24, 2008 - July 29, 2009
BROOKVILLE CAPITAL PARTNERS
January 14, 2008 - March 7, 2008
JHS CAPITAL ADVISORS, LLC
December 4, 2007 - January 9, 2008
WINDSOR STREET CAPITAL, LP
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.
