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Garden City, NY 11530
646-805-8842About 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.
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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
Years of Experience in Financial Services
20
Number of Years with Current Firm
7
Work Experience
https://www.linkedin.com/in/william-romero-601b2322/
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations, International
Foreign Languages Serviced
English, Spanish
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Businesses, Tax Advice and Services, Legal Advice and Services, Financial Planning for Individuals
Services
Investment Types
Alternative Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Commodities, Insurance, Annuities, Stocks, Bonds, Options & Futures, Mutual Funds, Private investments., Socially Responsible Investments (SRI)
Can meet clients in the following ways
Email, Phone, Your Office, Our Office, Your Home, Our Offices, Video Conference
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 7, Series 9, Series 10, Series 24, Series 52, Series 53, Series 66
Insurance and Annuity Licenses
Variable Life, Disability, Accident, Annuity, Long Term Care, Life, HMO, Variable Annuity, Health
Firm Information
Advisor's Number of Clients
200
Advisor's Number of Managed Clients
50
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, Commissions, Flat Fee, Hourly
Fee % Based on Assets
1
Hourly Rate
$250
Minimum Fee Charged for Managed Accounts
$1,000
Minimum Fee Charged for Hourly Planning Accounts
$1,000
Disclosures
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Additional Detailed Disclosures
https://www.retirementplanning.net/disclosure/1892180/retirementplanning-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.