Travis J. Lippmann
Professional summary
Travis J Lippmann, who also goes by Travis Justin Lippmann, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Travis is registered as a RR (Registered Representative) and started their career in finance in 2011. Travis has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Travis J Lippmann's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2021 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006September 10, 2021 - October 1, 2021
VCS VENTURE SECURITIES
April 2, 2019 - November 8, 2021
JOSEPH STONE CAPITAL L.L.C.
March 20, 2017 - April 8, 2019
NEWBRIDGE SECURITIES CORPORATION
September 15, 2016 - April 12, 2017
MAXIM GROUP LLC
July 28, 2014 - September 16, 2016
DAWSON JAMES SECURITIES, INC.
April 24, 2014 - August 6, 2014
REALTA EQUITIES, INC.
September 23, 2013 - May 23, 2014
JOHN CARRIS INVESTMENTS LLC
May 14, 2012 - September 24, 2013
GLOBAL ARENA CAPITAL CORP
May 6, 2011 - May 8, 2012
NATIONAL 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
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(10/11/2021)
Exams
FINRA
Nasdaq Stock Market
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.
