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James Robert Pecoraro

Spartan Capital Securities, LLC

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About James Robert Pecoraro

James Robert Pecoraro is a financial professional with over 20 years of experience in the industry. James Robert is currently registered with Spartan Capital Securities, LLC and is licensed in 22 states. Prior to joining Spartan Capital Securities, LLC, James Robert held positions with SW Financial, PRIMARY CAPITAL, LLC, ROCKWELL GLOBAL CAPITAL LLC, PRESTIGE FINANCIAL CENTER, INC., J.P. TURNER & COMPANY, L.L.C., BRUNDYN SECURITIES INC., LH ROSS & COMPANY, INC., HARRISON SECURITIES, INC., and GBI CAPITAL PARTNERS INC. James Robert is a Series 7 and Series 63 licensed professional.

Firm Information

James Pecoraro 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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James Pecoraro’s Registration & Firm History

NY

11/01/2019 - Present

Spartan Capital Securities, LLC (GARDEN CITY NY)

NY

09/14/2016 - 12/02/2019

SW FINANCIAL (MELVILLE NY)

NY

12/01/2015 - 09/30/2016

PRIMARY CAPITAL, LLC (Garden City NY)

NY

01/10/2011 - 11/30/2015

ROCKWELL GLOBAL CAPITAL LLC (MELVILLE NY)

NY

10/17/2008 - 12/06/2010

PRESTIGE FINANCIAL CENTER, INC. (NEW YORK NY)

NY

10/28/2005 - 09/24/2008

J.P. TURNER & COMPANY, L.L.C. (WESTBURY NY)

TX

10/19/2004 - 10/28/2005

BRUNDYN SECURITIES INC. (ARLINGTON TX)

FL

04/30/2004 - 12/17/2004

LH ROSS & COMPANY, INC. (BOCA RATON FL)

NY

03/26/2001 - 04/27/2004

HARRISON SECURITIES, INC. (PORT WASHINGTON NY)

NY

07/30/1999 - 04/24/2001

GBI CAPITAL PARTNERS INC. (BETHPAGE NY)

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Licenses & Designations

BC

Issued 09/16/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/29/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 19 public disclosures for James Robert Pecoraro. Review regulatory record here.
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