Michael P. Laughlin
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.
Michael Patrick Laughlin, who also goes by Mike Laughlin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 8 firms and has passed the Series 63 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
May 21, 2013 - October 16, 2013
SPARTAN CAPITAL SECURITIES, LLC
May 15, 2013 - May 28, 2013
JOHN CARRIS INVESTMENTS LLC
September 12, 2011 - May 3, 2012
JOHN THOMAS FINANCIAL
May 21, 2010 - August 24, 2010
CHARLES VISTA LLC
August 3, 2009 - June 4, 2010
HFP CAPITAL MARKETS LLC
June 30, 2008 - August 6, 2009
OPPENHEIMER & CO. INC.
May 1, 2008 - July 11, 2008
DAWSON JAMES SECURITIES, INC.
February 7, 2008 - May 5, 2008
EASTBROOK CAPITAL GROUP LLC
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.
