Robert Fitzpatrick
Professional Summary
Robert Fitzpatrick was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1977 - 2026. Robert had worked at 12 firms and has passed the Series 65, Series 63, Series 82TO, Series 99TO, Series 6TO, Series 57TO, Series 52TO, Series 22TO, Series 7TO, SIE, Series 55, Series 87, Series 7, Series 10, Series 28, Series 27, Series 26, Series 9, Series 14, Series 39, Series 53, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC
Contact Information
Main Address
45 Broadway 19th Floor, New York, NY 10006Mailing Address
45 Broadway 19th Floor, New York, NY 10006Phone Number
(212) 293-0123Established
New York since 06/26/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| FLESCHE, PAUL ERIC | PRESIDENT | 3277904 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| NELSON, MITCHEL RAY | NY BRANCH MANAGER / CHIEF SUPERVISORY OFFICER | 1191908 |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
Regulatory Event
11Civil Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jun 2014Series 87 — Research Analyst Exam - Part II Regulations Module
Passed May 2007About the Series 87 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2023About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 39 — Direct Participation Programs Principal Examination
Passed Jan 2023About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
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