Mack L. Miller
Professional summary
Mack Leon Miller was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mack Leon Miller, who also goes by Mack Miller, Mark Miller, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Mack is registered as a RR (Registered Representative) and started their career in finance in 2004. Mack has worked at 21 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mack Leon Miller's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2017 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006May 24, 2016 - April 25, 2017
DAWSON JAMES SECURITIES, INC.
November 4, 2015 - May 24, 2016
LAMPERT CAPITAL MARKETS INC.
August 14, 2015 - November 5, 2015
VIEWTRADE SECURITIES, INC.
June 30, 2015 - July 27, 2015
MCBARRON CAPITAL LLC
February 23, 2015 - July 16, 2015
WOODSTOCK FINANCIAL GROUP, INC.
September 23, 2014 - February 6, 2015
BLACKBOOK CAPITAL, LLC
April 24, 2014 - September 26, 2014
REALTA EQUITIES, INC.
June 12, 2012 - May 23, 2014
JOHN CARRIS INVESTMENTS LLC
May 29, 2012 - June 12, 2012
NATIONAL SECURITIES CORPORATION
April 13, 2012 - April 20, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
February 14, 2012 - May 11, 2012
LEGEND MERCHANT GROUP, INC.
July 26, 2010 - February 15, 2012
BUCKMAN, BUCKMAN & REID, INC.
February 16, 2010 - July 20, 2010
FIRST MERGER CAPITAL, INC
November 25, 2009 - February 22, 2010
SEABOARD SECURITIES, INC.
May 1, 2009 - November 16, 2009
RIDGEWAY & CONGER, INC.
March 14, 2008 - May 1, 2009
THINKEQUITY LLC
January 17, 2007 - March 11, 2008
INVESTORS CAPITAL CORP.
September 5, 2006 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
November 15, 2004 - September 27, 2006
GRANTA CAPITAL GROUP LLC
November 12, 2004 - November 18, 2004
PHD CAPITAL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/16/2018)
(4/28/2017)
(3/7/2025)
(3/28/2018)
(3/3/2025)
(5/1/2017)
(3/22/2018)
(6/19/2017)
(4/27/2017)
(5/27/2025)
(11/9/2017)
(7/24/2017)
(4/27/2017)
(3/10/2025)
(5/9/2025)
(5/17/2018)
(3/12/2018)
(7/26/2021)
(6/5/2017)
(4/4/2018)
(4/27/2017)
Exams
FINRA
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.
