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FIRM PROFILE
Overview
SPARTAN CAPITAL SECURITIES, LLC is located at 45 Broadway 19th Floor, New York, NY 10006 and was first established at New York, New York in 06/26/2007. After operating for 18 years, SPARTAN CAPITAL SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SPARTAN CAPITAL SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. SPARTAN CAPITAL SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SPARTAN CAPITAL SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 13 disclosures, 8 being regulatory events, 1 being client events, and 4 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SPARTAN CAPITAL SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SPARTAN CAPITAL SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for SPARTAN CAPITAL SECURITIES, LLC Comes From
Understanding the Statistics for SPARTAN CAPITAL SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
45 Broadway 19th Floor, New York, NY 10006
45 Broadway 19th Floor, New York, NY 10006
Small
(212) 293-0123
New York since 06/26/2007
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at SPARTAN CAPITAL SECURITIES, LLC
Jeremy Cass Hassol
William Andrew Baris
Ralph Edward Metz JR
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