Christopher J. Dallas
Professional summary
Christopher J. Dallas, who also goes by Chris Dallas, Christopher Dallas, Christopher Joshua Dallas, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2014. Christopher has worked at 11 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher J. Dallas's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2022 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006February 15, 2022 - June 6, 2022
GARDEN STATE SECURITIES, INC.
December 21, 2020 - February 1, 2022
PINNACLE INVESTMENTS, LLC
April 15, 2019 - January 28, 2021
JOSEPH STONE CAPITAL L.L.C.
March 25, 2019 - March 26, 2019
JOSEPH STONE CAPITAL L.L.C.
July 5, 2016 - April 16, 2019
CAPE SECURITIES INC.
March 3, 2016 - July 27, 2016
JOSEPH GUNNAR & CO. LLC
June 30, 2015 - March 31, 2016
GARDEN STATE SECURITIES, INC.
February 18, 2015 - July 16, 2015
WOODSTOCK FINANCIAL GROUP, INC.
January 9, 2015 - March 20, 2015
BLACKBOOK CAPITAL, LLC
June 24, 2014 - January 12, 2015
DAWSON JAMES SECURITIES, INC.
May 1, 2014 - July 21, 2014
HALLMARK INVESTMENTS, INC.
March 21, 2014 - May 8, 2014
WINDSOR STREET CAPITAL, LP
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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Exams
Series 79TO
Date: 12/2/2023
Investment Banking Registered Representative ExaminationFINRA
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.
