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Richard Andrew Carozza

Spartan Capital Securities, LLC

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About Richard Andrew Carozza

Richard Carozza is a financial professional with over 30 years of experience in the industry. Richard currently holds a Series 7 and Series 63 license and is registered with Spartan Capital Securities, LLC. Previously, Richard was registered with SW Financial, A.G.P. / Alliance Global Partners, Primary Capital, LLC, Garden State Securities, Inc., Rockwell Global Capital LLC, Global Arena Capital Corp, Legend Trading, LLC, Nationwide Planning Associates Inc, and Yankee Financial Group, Inc.

Firm Information

Richard Carozza 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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Richard Carozza’s Registration & Firm History

NY

05/16/2023 - Present

Spartan Capital Securities, LLC (GARDEN CITY NY)

NY

11/14/2022 - 05/11/2023

SW FINANCIAL (MELVILLE NY)

NY

08/08/2022 - 11/04/2022

A.G.P. / ALLIANCE GLOBAL PARTNERS (New York NY)

NY

02/13/2017 - 06/02/2022

SW FINANCIAL (MELVILLE NY)

NY

09/21/2015 - 01/19/2017

PRIMARY CAPITAL, LLC (NEW YORK NY)

NY

05/08/2015 - 09/25/2015

GARDEN STATE SECURITIES, INC. (New York NY)

NY

09/23/2014 - 05/13/2015

ROCKWELL GLOBAL CAPITAL LLC (MELVILLE NY)

NY

04/01/2013 - 11/11/2013

GLOBAL ARENA CAPITAL CORP (MELVILLE NY)

NY

07/27/2011 - 02/01/2013

LEGEND TRADING, LLC (NEW YORK NY)

NY

03/30/2004 - 12/31/2010

NATIONWIDE PLANNING ASSOCIATES INC. (HUNTINGTON NY)

NY

01/29/2003 - 12/31/2003

YANKEE FINANCIAL GROUP, INC. (MELVILLE NY)

NY

05/23/1989 - 12/31/2002

WISE PLANNING CORP. (HICKSVILLE NY)

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Licenses & Designations

BC

Issued 07/21/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Andrew Carozza.
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