Robert Fitzpatrick
Professional summary
Robert Fitzpatrick is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1977. Robert has 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 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Fitzpatrick's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2022 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006October 26, 2021 - September 6, 2022
WESTPARK CAPITAL, INC.
August 28, 2020 - May 19, 2021
D. BORAL CAPITAL
February 21, 2017 - December 18, 2019
GP NURMENKARI INC.
March 24, 2008 - February 3, 2017
SOURCE CAPITAL GROUP, INC.
October 25, 2001 - February 3, 2017
SOURCE CAPITAL GROUP, INC.
August 29, 1997 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
January 1, 1996 - July 23, 1997
SFI INVESTMENTS, INC.
August 8, 1994 - November 22, 1995
RENSSELAER SECURITIES CORP.
December 11, 1989 - October 23, 1992
TROY FINANCIAL INVESTMENT SERVICES GROUP, INC.
June 26, 1985 - October 13, 1987
GLEACHER & COMPANY SECURITIES, INC.
March 15, 1983 - June 27, 1985
MOSELEY SECURITIES CORPORATION
September 1, 1977 - March 2, 1983
TP ICAP GLOBAL MARKETS AMERICAS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/27/2022)
(1/3/2025)
(11/7/2022)
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 6/19/2014
Limited Representative-Equity Trader ExamSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal 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.
