Theo S. Basis Brings Expertise to Spartan Capital Securities
Theo S. Basis Appointed as Chief Compliance Officer
Spartan Capital Securities is excited to announce the recent addition of Theo S. Basis as its new Chief Compliance Officer. His impressive background spans over 30 years within compliance and regulatory roles across various sectors, including broker-dealer and registered investment advisory. Mr. Basis is set to significantly enhance the firm's compliance structure and regulatory adherence process.
Professional Experience and Leadership
Throughout his career, Mr. Basis has been recognized for his leadership and expertise in compliance at notable financial institutions. His previous engagements include prominent roles at AXA Equitable, Prudential, and Principal Financial Group, among others. Most recently, he was associated with Laidlaw & Co., further strengthening his portfolio with extensive regulatory experience.
Insights from FINRA
Before his foray into the corporate world, Mr. Basis served as a Senior Compliance Examiner with FINRA Membership Regulation in District #10, New York. In this role, he honed his skills in Special Investigations and Enforcement, gaining a keen insight into the complexities of regulatory risks and how to address them effectively.
Regulatory Acumen and Expertise
Mr. Basis's proficiency extends to the intricate application of SEC, FINRA, and MSRB regulations, earning him a solid reputation as a trusted compliance leader. Holding multiple securities registrations, he is among the few in the industry to possess renowned certifications, including the prestigious Certified Anti-Money Laundering Specialist (CAMS) designation achieved in 2007.
Vision for Compliance at Spartan Capital
John D. Lowry, Founder and CEO of Spartan Capital Securities, expressed enthusiasm at welcoming Mr. Basis aboard, stating, “His deep understanding of compliance and unmatched leadership experience align perfectly with our mission to uphold the highest industry standards. We believe that Theo’s expertise will be indispensable as our firm continues to grow and adapt to the evolving financial landscape.”
About Spartan Capital Securities, LLC
Spartan Capital Securities, LLC stands as a full-service financial services firm dedicated to providing expert investment guidance to affluent individuals and institutions. Recognized for its in-depth market knowledge and risk management strategies, Spartan Capital prides itself on delivering personalized asset allocation programs that cater to the unique financial ambitions of each client.
Integrated Financial Services
Offering a broad range of advisory and insurance services through its affiliates, Spartan Capital Private Wealth Management, LLC, and Spartan Capital Insurance Services, LLC, the firm is committed to fostering long-lasting client relationships based on trust and expertise.
For inquiries, please contact: info@spartancapital.com
John D. Lowry
Spartan Capital Securities
+1 (212) 293-0123
Frequently Asked Questions
Who is Theo S. Basis?
Theo S. Basis is the newly appointed Chief Compliance Officer for Spartan Capital Securities, bringing over 30 years of experience in compliance and regulatory roles.
What are Mr. Basis's previous roles?
Before joining Spartan Capital, Mr. Basis held leadership roles at financial institutions such as AXA Equitable and Prudential, and he was a Senior Compliance Examiner at FINRA.
What certifications does Theo S. Basis hold?
He holds multiple securities registrations and the Certified Anti-Money Laundering Specialist (CAMS) designation, reflecting his expertise in compliance.
What is Spartan Capital Securities?
Spartan Capital Securities, LLC is a full-service financial services firm offering personalized investment guidance and services to high-net-worth clients and institutions.
How can I contact Spartan Capital Securities?
For more information, you can reach out via email at info@spartancapital.com or call +1 (212) 293-0123.
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