New York, NY, April 04, 2025 (GLOBE NEWSWIRE) -- Spartan Capital Securities is pleased to announce the appointment of Theo S. Basis as the firm’s new Chief Compliance Officer. With over 30 years of experience in compliance and regulatory roles across broker-dealer, registered investment advisory, insurance, and investment banking sectors, Mr. Basis brings a wealth of leadership and expertise. He excels in overseeing compliance governance and ensuring regulatory adherence.
Throughout his career, Mr. Basis has held leadership positions at some of the most prominent financial institutions, including AXA Equitable, Prudential, Principal Financial Group, TD Wealth Management, Signature Bank/Securities, W.J. Nolan & Co. (a NYSE member), and, most recently, Laidlaw & Co. Additionally, Theo worked as a Senior Compliance Examiner with FINRA Membership Regulation, District #10 in New York, working in Special Investigations/Enforcement, where he developed a sharp acumen for assessing regulatory risks and implementing solutions to ensure regulatory compliance.
Mr. Basis is an expert in the application of SEC, FINRA, and MSRB regulatory rules and interpretations, and he has earned a strong reputation as a trusted compliance leader and strategic advisor. He holds multiple securities registrations, including Series 7, 8, 9, 10, 14, 24, 53, 63, 65, and 99. Additionally, in 2007, he attained the Certified Anti-Money Laundering Specialist (CAMS) designation and has utilized this specialty ever since.
John D. Lowry, Founder and CEO of Spartan Capital Securities, commented, “We are thrilled to welcome Theo Basis to Spartan Capital Securities. His extensive experience in regulatory compliance and leadership will be instrumental in strengthening our compliance infrastructure and ensuring we meet the highest industry standards. Theo’s ability to navigate complex regulatory landscapes will be a critical asset as we grow and expand.”
About Spartan Capital Securities, LLC (SCS):
Spartan Capital Securities, LLC is a full-service, integrated financial services firm that provides sound investment guidance for high-net-worth individuals and institutions. With deep market knowledge, risk management strategies, and investment expertise, Spartan Capital has earned a strong reputation as a trusted financial advisor. The firm offers personalized asset allocation programs tailored to meet each client’s unique financial goals. Spartan Capital also offers advisory and insurance services through its affiliates, Spartan Capital Private Wealth Management, LLC, and Spartan Capital Insurance Services, LLC.
For inquiries, contact: info@spartancapital.com
John D. Lowry
Spartan Capital Securities
+1 (212) 293-0123
