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John Joseph Stapleton

Spartan Capital Securities, LLC

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About John Joseph Stapleton

John Stapleton is a financial professional with over 20 years of experience in the industry. John is currently registered with Spartan Capital Securities, LLC and has previously been registered with several other firms, including Craig Scott Capital, LLC, Rockwell Global Capital LLC, and JHS Capital Advisors, Inc. John holds FINRA Series 63, SIE, and Series 7 licenses. John has been registered in Alabama, Arkansas, California, Connecticut, District of Columbia, Indiana, Iowa, Kansas, Louisiana, Minnesota, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Texas, and West Virginia.

Firm Information

John Stapleton 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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John Stapleton’s Registration & Firm History

NY

11/04/2015 - Present

Spartan Capital Securities, LLC (GARDEN CITY NY)

NY

08/20/2013 - 12/04/2015

CRAIG SCOTT CAPITAL, LLC (UNIONDALE NY)

NY

05/21/2010 - 08/26/2013

ROCKWELL GLOBAL CAPITAL LLC (MELVILLE NY)

NY

12/21/2005 - 05/21/2010

JHS CAPITAL ADVISORS, INC. (BETHPAGE NY)

NY

09/12/2005 - 12/21/2005

GREAT EASTERN SECURITIES, INC. (NEW YORK NY)

FL

11/29/2004 - 08/22/2005

GUNNALLEN FINANCIAL, INC (TAMPA FL)

FL

01/27/2004 - 12/17/2004

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

NY

05/06/1997 - 01/29/2004

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

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Licenses & Designations

BC

Issued 02/18/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/12/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 16 public disclosures for John Joseph Stapleton. Review regulatory record here.
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