JT
Justin A. Travieso
SPARTAN CAPITAL SECURITIES
New York, NY 10006
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CRD#: 7171999
JT
Professional summary
Justin Alex Travieso is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Justin is registered as a RR (Registered Representative) and started their career in finance in 2019. Justin has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Justin Alex Travieso's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 18, 2023 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006BD
CRD#: 146251
New York, NY
Past
September 23, 2021 - December 14, 2023
VCS VENTURE SECURITIES
BD
CRD#: 127921
New York, NY
Past
September 5, 2019 - October 13, 2021
JOSEPH STONE CAPITAL L.L.C.
BD
CRD#: 159744
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/22/2024)
RR
Arizona(1/3/2024)
RR
Arkansas(9/12/2025)
RR
California(12/18/2023)
RR
Colorado(12/18/2023)
RR
Delaware(7/23/2025)
RR
Florida(1/3/2024)
RR
Georgia(1/3/2024)
RR
Idaho(5/30/2025)
RR
Indiana(1/3/2024)
RR
Iowa(1/22/2024)
RR
Kansas(1/22/2024)
RR
Kentucky(1/22/2024)
RR
Louisiana(1/22/2024)
RR
Maryland(11/10/2025)
RR
Massachusetts(4/1/2024)
RR
Michigan(1/22/2024)
RR
Missouri(12/18/2023)
RR
New Jersey(12/19/2023)
RR
New Mexico(8/21/2025)
RR
New York(12/18/2023)
RR
North Carolina(1/3/2024)
RR
Ohio(1/3/2024)
RR
Oklahoma(1/22/2024)
RR
Pennsylvania(1/3/2024)
RR
South Carolina(1/3/2024)
RR
Texas(12/21/2023)
RR
Utah(1/22/2024)
RR
Virginia(1/22/2024)
RR
Washington(1/3/2024)
RR
Wisconsin(1/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/5/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SC
SPARTAN CAPITAL SECURITIES, LLC
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Broadway 19th Floor, New York, NY 10006
Mailing Address
45 Broadway 19th Floor, New York, NY 10006
Phone number
(212) 293-0123
Established
New York since 06/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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.
