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Joseph F Rossetti

Spartan Capital Securities, LLC

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About Joseph F Rossetti

Joseph F Rossetti has been active in the financial services industry since January 16, 2013. Joseph is currently registered with Spartan Capital Securities, LLC, a broker-dealer with a Broker-Dealer (BC) scope. Previously, Joseph was registered with Benchmark Investments, Inc., I-Bankers Direct, LLC, MML Investors Services, LLC, MSI Financial Services, Inc., and Aegis Capital Corp. Joseph has passed the Series 7, Series 63, Series 66, Series 79TO, and SIE exams. Joseph is currently registered in 30 states.

Firm Information

Joseph Rossetti 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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Joseph Rossetti’s Registration & Firm History

NY

08/09/2021 - Present

Spartan Capital Securities, LLC (NEW YORK NY)

NY

10/19/2020 - 07/15/2021

BENCHMARK INVESTMENTS, INC. (New York NY)

FL

07/13/2020 - 10/19/2020

I-BANKERS DIRECT, LLC (BOCA RATON FL)

NY

03/25/2017 - 07/09/2020

MML INVESTORS SERVICES, LLC (NEW YORK NY)

PA

07/09/2015 - 03/25/2017

MSI FINANCIAL SERVICES, INC. (NEWTOWN SQUARE PA)

NJ

04/19/2013 - 06/01/2015

AEGIS CAPITAL CORP. (HOLMDEL NJ)

NY

11/05/2012 - 04/09/2013

CHARLES VISTA LLC (STATEN ISLAND NY)

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Licenses & Designations

BOTH

Issued 08/21/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/09/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/05/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/02/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Joseph F Rossetti. Review regulatory record here.
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