William H. Coons
Professional summary
William Howard Coons, who also goes by Bill Coons, William Howard Coons III, 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 1990. William has worked at 13 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Howard Coons's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2017 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006January 7, 2016 - January 27, 2016
WINDSOR STREET CAPITAL, LP
October 21, 2010 - February 21, 2017
HALLMARK INVESTMENTS, INC.
October 5, 2010 - October 25, 2010
MONARCH FINANCIAL CORPORATION OF AMERICA
June 26, 2009 - October 8, 2010
WESTROCK ADVISORS, INC.
October 23, 2002 - July 7, 2009
MAXIM GROUP LLC
June 1, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
March 10, 1998 - June 1, 1999
STUART, COLEMAN & CO., INC.
February 21, 1996 - February 27, 1998
HAMPSHIRE SECURITIES CORPORATION
February 22, 1995 - January 26, 1996
CIBC WORLD MARKETS CORP.
September 11, 1991 - March 8, 1995
LADENBURG THALMANN & CO. INC.
May 13, 1991 - October 15, 1991
JOSEPHTHAL & CO., INC.
April 24, 1990 - June 18, 1991
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/6/2021)
(7/23/2020)
(12/4/2024)
(6/5/2017)
(3/20/2024)
(8/16/2023)
(12/20/2019)
(7/25/2019)
(3/18/2021)
(5/22/2019)
(3/2/2021)
(7/13/2021)
(5/5/2021)
(3/7/2017)
(5/31/2017)
(7/12/2017)
(10/22/2020)
(4/24/2017)
(2/11/2021)
(3/15/2017)
(6/10/2020)
(8/24/2020)
(9/28/2020)
(6/10/2020)
(3/3/2020)
(2/12/2021)
(8/13/2020)
(7/8/2021)
(1/31/2024)
(9/6/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPARTAN CAPITAL HOLDINGS, LLC | OWNER | |
| BASIS, THEOLOGOS STAVROS | CHIEF COMPLIANCE OFFICER / AML OFFICER | 2574740 |
| DACOSTA, MAURICE MICHAEL | CFO / FINOP | 5500926 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| LOWRY, JOHN DENNIS | CEO/MANAGING MEMBER | 4336146 |
| MONCHIK, KIM MARIE | CAO | |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 4 |
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.
