Mark A. Miranda
Professional summary
Mark Andrew Miranda was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Mark had worked at 10 firms, which includes SPARTAN CAPITAL SECURITIES LLC, NETWORK 1 FINANCIAL SECURITIES INC., OBSIDIAN FINANCIAL GROUP LLC, EMPIRE FINANCIAL GROUP INC., EKN FINANCIAL SERVICES INC., EHRENKRANTZ KING NUSSBAUM, WEATHERLY SECURITIES CORPORATION, TASIN & COMPANY INC., LEGEND MERCHANT GROUP INC., INVESTORS ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2020 - August 10, 2022
SPARTAN CAPITAL SECURITIES, LLC
December 14, 2012 - February 26, 2020
NETWORK 1 FINANCIAL SECURITIES INC.
December 1, 2008 - December 12, 2012
OBSIDIAN FINANCIAL GROUP, LLC
October 25, 2005 - December 10, 2008
EMPIRE FINANCIAL GROUP, INC.
December 21, 2001 - November 21, 2005
EKN FINANCIAL SERVICES INC.
October 22, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
September 22, 1999 - October 22, 2001
WEATHERLY SECURITIES CORPORATION
October 17, 1997 - October 19, 1999
TASIN & COMPANY, INC.
June 20, 1997 - September 24, 1997
LEGEND MERCHANT GROUP, INC.
April 30, 1997 - May 9, 1997
INVESTORS ASSOCIATES, 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
Exams
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 | 10 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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