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George Carlo

Spartan Capital Securities, LLC

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About George Carlo

George Carlo is a registered representative with Spartan Capital Securities, LLC. He has over 30 years of experience in the financial services industry. He is a Series 7, 24, 63, 79TO, 99TO, and SIE licensed professional. His professional career began in 1990 and he has held positions with several firms over the years including K.C. Ward Financial, Morgan Wilshire Securities, Inc., and First Asset Management, Inc. He is currently registered with the state of Arizona, California, Florida, Kentucky, Louisiana, Massachusetts, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Rhode Island, Texas, and Wisconsin.

Firm Information

George Carlo is currently registered with Spartan Capital Securities, LLC. Spartan Capital Securities, LLC is a Limited Liability Company formed in June 2007. It is registered to do business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has an active SEC registration and is subject to regulatory oversight.

Not reported

Assets Under Management

Not reported

Total Clients

83

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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George Carlo’s Registration & Firm History

NY

01/02/2018 - Present

Spartan Capital Securities, LLC (Ronkonkoma NY)

NY

01/06/2010 - 12/31/2017

K.C. WARD FINANCIAL (RONKONKOMA NY)

NY

09/10/1998 - 12/23/2009

MORGAN WILSHIRE SECURITIES, INC. (GARDEN CITY NY)

NY

08/26/1998 - 09/01/1998

FIRST ASSET MANAGEMENT, INC. (GARDEN CITY NY)

NA

05/27/1997 - 07/14/1998

WALSH MANNING SECURITIES, LLC

NY

12/05/1994 - 02/19/1997

MAIDSTONE FINANCIAL, INC. (NEW YORK NY)

NY

04/20/1992 - 12/09/1994

LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)

NY

11/07/1990 - 04/21/1992

STRATTON OAKMONT INC. (LAKE SUCCESS NY)

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Licenses & Designations

BC

Issued 11/26/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/21/1995

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/06/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 6 public disclosures for George Carlo. Review regulatory record here.
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