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Peter Guerrero

Spartan Capital Securities, LLC

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About Peter Guerrero

Peter Guerrero is a financial advisor with over 15 years of experience in the industry. Peter is currently registered with Spartan Capital Securities, LLC and has been with the firm since May 2017. Prior to Spartan Capital Securities, LLC, Peter was a financial advisor at Windsor Street Capital, LP. Peter has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, NYLIFE Securities LLC, AXA Advisors, LLC, Joseph Stevens & Company, Inc., National Securities Corporation, and S.W. Bach & Company. Peter is licensed to sell securities in 21 states, including California, Florida, Illinois, Maine, Maryland, Massachusetts, Michigan, Nebraska, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Puerto Rico, Rhode Island, South Carolina, Texas, Virginia, Wisconsin, and Wyoming.

Firm Information

Peter Guerrero 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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Peter Guerrero’s Registration & Firm History

NY

05/16/2017 - Present

Spartan Capital Securities, LLC (NEW YORK NY)

NY

04/18/2016 - 05/09/2017

WINDSOR STREET CAPITAL, LP (NEW YORK NY)

NY

07/01/2010 - 05/01/2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

07/31/2009 - 07/13/2010

NYLIFE SECURITIES LLC (NEW YORK NY)

NY

03/22/2007 - 02/04/2009

AXA ADVISORS, LLC (NEW YORK NY)

NY

11/01/2005 - 08/10/2006

JOSEPH STEVENS & COMPANY, INC. (NEW YORK NY)

FL

09/30/2005 - 10/28/2005

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

NY

08/03/2005 - 10/12/2005

S.W. BACH & COMPANY (PORT WASHINGTON NY)

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Licenses & Designations

BOTH

Issued 10/11/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/13/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/02/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Peter Guerrero. Review regulatory record here.
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