DIRECTORY OF REGISTERED ADVISORS
National Coverage
Local Professionals
New York, NY 10006
212-786-6957About Spartan Capital Advisors
We're committed to helping you achieve your financial goals. As a leading independent broker-dealer and registered investment adviser, we understand that quality investment products, advice, and services are critical elements to successful investing.
See Disclosures
General Information
Firm Start Year
1926
CRD#
5127697
Firm CRD#
154632
Insurance License#
LA-1016121
Name of Broker/Dealer
Spartan Securities LLC
States Licensed in
AZ, FL, NJ, NY, PA, TX, CT, CA
Years of Experience in Financial Services
20
Number of Years with Current Firm
8
Work Experience
https://www.linkedin.com/in/william-romero-601b2322/
Work with the following types of clients
Businesses, Individual Investors, International, Non-Profit Organizations, Investment Clubs
Foreign Languages Serviced
English, Spanish
Advisory Services Provided
Portfolio Management, Financial Planning, Insurance Products & Annuities, Estate Planning & Trusts, Investment Advice & Management, Financial Advice & Consulting, Legal Advice and Services, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Tax Advice and Services, Financial Planning for Businesses, Financial Planning for Individuals
Services
Investment Types
Annuities, Stocks, Mortgages & Real Estate, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Insurance, Mutual Funds, Private investments., Commodities, Options & Futures, Socially Responsible Investments (SRI)
Can meet clients in the following ways
Video Conference, Our Offices, Your Home, Our Office, Phone, Email, Your Office
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 53, Series 63, Series 52, Series 24, Series 10, Series 9, Series 66, Series 6, Series 7
Insurance and Annuity Licenses
Variable Life, Long Term Care, Variable Annuity, HMO, Life, Health, Annuity, Accident, Disability
Firm Information
Advisor's Number of Clients
200
Advisor's Number of Managed Clients
120
Advisor's Number of Planning Clients
250
Total Assets Under Management by Advisor
$220,000,000
Compensation and Fees
Fee Structure
Fee-Based
Compensation Methods
Based on Assets, Flat Fee, Commissions
Fee % Based on Assets
Varies/Val
Minimum Fee Charged for Managed Accounts
N/A
Disclosures
FinancialAdvisor.net provides referrals to financial professionals. FinancialAdvisor.net is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for FinancialAdvisor.net to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
https://www.financialadvisor.net/disclosure/1892180/financialadvisor-Spartan-Capital-Advisors-detailed-disclosure.html
Disclaimer
Investment Adviser Representative offering securities and advisory services through Spartan Capital LLC, member FINRA / SIPC, a broker/dealer and registered investment advisor.