Anthony B. Shelby
Professional summary
Anthony B Shelby, who also goes by Anthony Bernard Shelby, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2012. Anthony has worked at 6 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 Anthony B Shelby's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 2018 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006March 7, 2017 - February 14, 2018
NATIONAL SECURITIES CORPORATION
February 8, 2016 - March 16, 2017
LAIDLAW & COMPANY (UK) LTD.
June 17, 2014 - December 15, 2015
LEGEND SECURITIES, INC.
March 4, 2014 - June 19, 2014
PHX FINANCIAL, INC.
September 12, 2013 - February 19, 2014
ALLIED MILLENNIAL PARTNERS, LLC
October 17, 2012 - September 11, 2013
LEGEND SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2024)
(5/7/2018)
(5/9/2018)
(5/7/2018)
(6/8/2018)
(4/20/2018)
(5/21/2018)
(5/14/2018)
(3/15/2022)
(5/1/2018)
(5/10/2018)
(5/10/2018)
(4/17/2018)
(5/8/2018)
(4/9/2018)
(3/21/2018)
(4/17/2018)
(4/27/2018)
(4/5/2018)
(12/23/2024)
(4/13/2018)
(5/14/2018)
(4/2/2024)
(5/12/2021)
(7/6/2018)
(6/18/2018)
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
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