Jesse D. Krapf
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.
Jesse D Krapf, who also goes by Jesse D. Krapf, was a registered financial professional .
Jesse is a previously registered financial professional and started their career in finance in 2008. Jesse had worked at 10 firms and has passed the Series 63, Series 79TO, 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 22, 2019 - December 4, 2024
SPARTAN CAPITAL SECURITIES, LLC
February 23, 2019 - October 29, 2019
D. BORAL CAPITAL
February 12, 2016 - February 21, 2019
NEWBRIDGE SECURITIES CORPORATION
January 29, 2015 - March 25, 2015
COLUMBUS ADVISORY GROUP, LTD.
February 19, 2014 - January 22, 2015
LEGEND SECURITIES, INC.
July 19, 2013 - March 12, 2014
IAA FINANCIAL LLC
October 18, 2012 - July 1, 2013
C.K. COOPER & COMPANY, INC.
April 13, 2012 - October 12, 2012
AEGIS CAPITAL CORP.
August 6, 2010 - April 13, 2012
BROOKSTONE SECURITIES, INC.
January 11, 2008 - August 12, 2010
JOHN THOMAS FINANCIAL
January 1, 2008 - January 10, 2008
NEWBRIDGE SECURITIES CORPORATION
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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.
