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Est. 2026The front page of wealth managementNew York

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Registered advisors

Every investment adviser representative in the SEC’s records, each with a profile: firms, branch, career, exams, designations and disclosures.

  1. 398,301Registered advisersEvery investment adviser representative
  2. 304,895Dually registered77% are also broker reps
  3. 93,406Adviser onlyNot registered with a broker-dealer
  4. 25,639FirmsWhere they're registered
  5. 56,898CFPs11,003 CFAs, 12,693 ChFCs

From the SEC’s compilation report of October 24, 2026, refreshed every morning. +89 since the file before. 53 firm joins and 232 departures in the latest file. 8 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

8 advisors

Unlock all 8
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Theologos S. BasisNew York, NYSpartan Capital Private Wealth Management LLCAdviser and broker–Atlas2009
2Peter I. CardilloNew York, NYSpartan Capital Private Wealth Management LLCAdviser and broker–Atlas2018
3Carter J. DuddyNew York, NYSpartan Capital Private Wealth Management LLCAdviser and broker–Atlas2026
4Shoug MaysonNew York, NYSpartan Capital Private Wealth Management LLCAdviser and broker–Atlas2009
5Ralph E. Metz Jr.New York, NYSpartan Capital Private Wealth Management LLCAdviser and broker–Atlas2018
6William E. RomeroNew York, NYSpartan Capital Private Wealth Management LLCAdviser and broker–Atlas2009
7Sara M. RosenbergNew York, NYSpartan Capital Private Wealth Management LLCAdviser and broker–Atlas2021
8Gary M. ScarboroNew York, NYSpartan Capital Private Wealth Management LLCAdviser and broker–Atlas2019

From the SEC’s Investment Adviser Public Disclosure compilation report: investment adviser representatives, including those also registered as broker representatives. Personal contact details aren’t included.