Robert Fitzpatrick has joined Spartan Capital Securities LLC (SCS) as General Counsel. Prior to joining Spartan, Mr. Fitzpatrick worked on the trading desk for several broker dealers. He established and ran an independent broker dealer for a savings bank in upstate NY in addition to being the bank’s Chief Investment Officer. He has been involved in Compliance at many levels for almost 40 years. Both through his private practice and as firm’s Counsel, he has represented brokers and broker dealers at OTRs, Arbitrations, State inquiries and FINRA disciplinary actions.
Mr. Fitzpatrick expertise spans virtually all core industry management functions including CCO, CEO, CFO, Branch Manager, AML Officer and Head of Research. He holds a BA in Economics and a JD degree.
Bob holds FINRA Series 4, 7, 24, 27, 53, 55, 63, 65, 87 and 99. He is also admitted to the NY State bar.
Spartan Capital Securities’ Founder and CEO, John Lowry commented: “We are very pleased that Robert Fitzpatrick has joined the Spartan team. Bob’s extensive knowledge, strong compliance skills, along with proven industry leadership, position him as an ideal addition to our Firm, as we continue to evolve and grow.”
