AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WB

William J. Birney

SPARTAN CAPITAL SECURITIES
New York, NY 10006
Some features on this profile are disabled
CRD#: 2014056
WB

Professional summary

William Joseph Birney, who also goes by William Joseph Birney, William Birney, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1989. William has worked at 14 firms and has passed the Series 63, Series 57TO, Series 72, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Joseph Birney | William Birney

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Joseph Birney's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 14, 2022 - Present

SPARTAN CAPITAL SECURITIES, LLC

Office #1: 45 Broadway 19th Floor, New York, NY 10006
BD
CRD#: 146251
New York, NY
Past

March 24, 2022 - October 3, 2022

REVERE SECURITIES LLC

BD
CRD#: 14178
NEW YORK, NY
Past

April 8, 2021 - February 17, 2022

D. BORAL CAPITAL

BD
CRD#: 103792
New York, NY
Past

May 30, 2019 - March 16, 2021

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

November 26, 2018 - January 14, 2019

EMPIRE ASSET MANAGEMENT COMPANY

BD
CRD#: 143007
NEW YORK, NY
Past

June 17, 2016 - November 1, 2018

DREXEL HAMILTON, LLC

BD
CRD#: 143570
NEW YORK, NY
Past

March 16, 2015 - June 4, 2015

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

September 1, 2010 - December 9, 2013

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

October 9, 2008 - August 17, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

May 30, 2008 - October 14, 2008

MATRIX U.S.A., LLC

BD
CRD#: 38057
NEW YORK, NY
Past

November 14, 2001 - January 31, 2008

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

September 11, 1998 - November 6, 2001

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

June 13, 1997 - May 19, 1998

CAPIS

BD
CRD#: 7551
DALLAS, TX
Past

September 24, 1993 - April 21, 1997

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

December 19, 1989 - September 28, 1993

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/9/2023)
RR
California
(2/16/2023)
RR
Colorado
(7/20/2023)
RR
Connecticut
(2/7/2023)
RR
Florida
(2/7/2023)
RR
Georgia
(8/2/2023)
RR
Louisiana
(7/27/2023)
RR
New Jersey
(7/25/2023)
RR
New York
(11/14/2022)
RR
Puerto Rico
(7/28/2023)
RR
Texas
(8/25/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/13/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/28/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/16/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SC
SPARTAN CAPITAL SECURITIES, LLC
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251 / SEC#: , 8-67801

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
45 Broadway 19th Floor, New York, NY 10006
Mailing Address
45 Broadway 19th Floor, New York, NY 10006
Phone number
(212) 293-0123
Established
New York since 06/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPARTAN CAPITAL HOLDINGS, LLCOWNER
BASIS, THEOLOGOS STAVROSCHIEF COMPLIANCE OFFICER / AML OFFICER2574740
DACOSTA, MAURICE MICHAELCFO / FINOP5500926
HEILPERN, GERALD MARTINMUNICIPAL SECURITIES PRINCIPAL241803
LOWRY, JOHN DENNISCEO/MANAGING MEMBER4336146
MONCHIK, KIM MARIECAO
SNOOZY, MARK JAMESROSFP2822325

Disclosures

Regulatory Event10
Civil Event1
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251New York, NY 10006

TRUST BUT VERIFY

Monitor William Birney

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
STRATEGIC ADVISERS LLC
IAR
RR
RIDGEWOOD, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.