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Joseph Nicholas Cassese

Spartan Capital Securities, LLC

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About Joseph Nicholas Cassese

Joseph Cassese is an active registered representative with Spartan Capital Securities, LLC. Joseph has been in the financial services industry since 1989. Joseph has passed the Series 7 and Series 63 exams. Spartan Capital Securities, LLC is an active broker-dealer. Before joining Spartan Capital Securities, LLC, Joseph worked at K.C. WARD FINANCIAL, MORGAN WILSHIRE SECURITIES, INC., FIRST SECURITY INVESTMENTS, INC., MADISON CAPITAL MARKETS CORP., and FIRST ASSET MANAGEMENT, INC.

Firm Information

Joseph Cassese 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 Cassese’s Registration & Firm History

NY

01/02/2018 - Present

Spartan Capital Securities, LLC (Ronkonkoma NY)

NY

09/05/2011 - 12/31/2017

K.C. WARD FINANCIAL (RONKONKOMA NY)

NY

08/02/2000 - 10/05/2011

MORGAN WILSHIRE SECURITIES, INC. (GARDEN CITY NY)

PA

11/04/1999 - 06/26/2000

FIRST SECURITY INVESTMENTS, INC. (KINGSTON PA)

NY

03/10/1999 - 10/15/1999

MADISON CAPITAL MARKETS CORP. (NEW YORK NY)

NY

08/25/1998 - 03/19/1999

MORGAN WILSHIRE SECURITIES, INC. (GARDEN CITY NY)

NY

07/02/1991 - 08/28/1998

FIRST ASSET MANAGEMENT, INC. (GARDEN CITY NY)

NY

07/18/1989 - 07/29/1991

STRATTON OAKMONT INC. (LAKE SUCCESS NY)

NA

07/18/1989 - 08/08/1989

MADISON CHAPIN ASSOCS., INC.

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Licenses & Designations

BC

Issued 07/25/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/15/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Joseph Nicholas Cassese. Review regulatory record here.
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