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Robert Nicholas Rotunno

Spartan Capital Securities, LLC

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About Robert Nicholas Rotunno

Robert Rotunno is an active broker with Spartan Capital Securities, LLC in New York, NY. Robert has been in the securities industry since January 6, 2000. Robert is also registered with the following firms: SW Financial, Worden Capital Management LLC, Tigress Financial Partners, LLC, National Securities Corporation, Laidlaw & Company (UK) Ltd., Sands Brothers & Co., Ltd., Global Capital Securities Corporation, Murphy & Durieu, and American Investment Services, Inc. Robert has passed the SIE, Series 7 and Series 63 examinations.

Firm Information

Robert Rotunno 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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Robert Rotunno’s Registration & Firm History

NY

05/17/2023 - Present

Spartan Capital Securities, LLC (NEW YORK NY)

NY

12/03/2021 - 05/11/2023

SW FINANCIAL (NEW YORK NY)

NY

12/10/2019 - 10/08/2021

WORDEN CAPITAL MANAGEMENT LLC (New York NY)

NY

01/24/2019 - 12/13/2019

TIGRESS FINANCIAL PARTNERS, LLC (NEW YORK NY)

NY

01/13/2016 - 01/14/2019

NATIONAL SECURITIES CORPORATION (NEW YORK NY)

NY

08/23/2004 - 02/03/2016

LAIDLAW & COMPANY (UK) LTD. (NEW YORK NY)

NY

04/02/2002 - 08/23/2004

SANDS BROTHERS & CO., LTD. (NEW YORK NY)

CO

01/09/2001 - 03/26/2002

GLOBAL CAPITAL SECURITIES CORPORATION (ENGLEWOOD CO)

NY

05/12/2000 - 12/21/2000

MURPHY & DURIEU (NEW YORK NY)

OK

10/06/1999 - 05/15/2000

AMERICAN INVESTMENT SERVICES, INC. (OKLAHOMA CITY OK)

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Licenses & Designations

BC

Issued 10/22/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Robert Nicholas Rotunno. Review regulatory record here.
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