Samuel Girgiss
Professional summary
Samuel Girgiss was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Samuel is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Samuel had worked at 4 firms, which includes SPARTAN CAPITAL SECURITIES LLC, WORDEN CAPITAL MANAGEMENT LLC, LEGEND SECURITIES INC., JOSEPH GUNNAR & CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2017 - December 22, 2022
SPARTAN CAPITAL SECURITIES, LLC
November 4, 2016 - September 7, 2017
WORDEN CAPITAL MANAGEMENT LLC
August 23, 2013 - November 9, 2016
LEGEND SECURITIES, INC.
September 7, 2012 - September 4, 2013
JOSEPH GUNNAR & CO. LLC
State Registrations and Notice Filings
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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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