Brandon F. Ulloa

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

New York, NY 10006

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CRD#: 7705156

Professional summary

Brandon Felix Ulloa is a registered financial advisor currently at SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC located in New York, New York and SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.

Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Brandon has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) Kachi BPM: EST> 01/2023. Fresh Meadow, NY. Nature of Business: Music & Entertainment. Role: Provide Entertainment Services. Approximately 30 Hours per ,month. Not Business Related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Felix Ulloa'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®

None

Experience

Current

January 21, 2025 - Present

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

Office #1: 45 Broadway 19th Floor, New York, NY 10006

RIA

CRD#: 154632

New York, NY

Current

January 21, 2025 - Present

SPARTAN CAPITAL SECURITIES, LLC

Office #1: 45 Broadway 19th Floor, New York, NY 10006

CRD#: 146251

New York, NY

Past

June 9, 2023 - January 13, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

May 9, 2023 - January 13, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(1/21/2025)

Connecticut
(1/21/2025)

Delaware
(1/21/2025)

District of Columbia
(1/21/2025)

Florida
(1/21/2025)

Maine
(1/21/2025)

Maryland
(1/21/2025)

Massachusetts
(1/21/2025)

New Hampshire
(1/21/2025)

New Jersey
(1/21/2025)

IAR

New Jersey
(1/21/2025)

New York
(1/21/2025)

North Carolina
(1/22/2025)

Pennsylvania
(1/21/2025)

Rhode Island
(1/21/2025)

Texas
(1/21/2025)

Vermont
(1/21/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/8/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/9/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/24/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

SCS ADVISORY SERVICES LLC. | SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

CRD#: 154632 / SEC#:

Connecticut

Registered Investment Advisory firm - (1/5/2022 Approved)

New Jersey

Registered Investment Advisory firm - (1/4/2022 Approved)

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Contact information

Main Address

45 Broadway 19th Floor, New York, NY 10006

Mailing Address

Phone number

(212) 293-0123

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 6,741,000

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.

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Brandon F. Ulloa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Felix Ulloa's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

SPARTAN CAPITAL SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/8/2023

Series 7TO

Date: 5/9/2023

SIE

Date: 3/24/2023

FINRA

Nasdaq Stock Market

Current Firm

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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