Mark James Snoozy
Professional Summary
Mark James Snoozy is a registered financial advisor currently at SPARTAN CAPITAL SECURITIES, LLC located in Garden City, New York. Mark is registered as a RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC
Contact Information
Main Address
45 Broadway 19th Floor, New York, NY 10006Mailing Address
45 Broadway 19th Floor, New York, NY 10006Phone Number
(212) 293-0123Established
New York since 06/26/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| FLESCHE, PAUL ERIC | PRESIDENT | 3277904 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| NELSON, MITCHEL RAY | NY BRANCH MANAGER / CHIEF SUPERVISORY OFFICER | 1191908 |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
Regulatory Event
11Civil Event
1Arbitration
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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.
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State Registrations and Notice Filings
(6/4/2014)
(3/16/2022)
(12/14/2012)
(12/17/2012)
(6/4/2014)
(6/5/2014)
(6/5/2014)
(3/8/2013)
(6/4/2014)
(6/4/2014)
(6/4/2014)
(1/3/2013)
(3/8/2013)
(6/12/2014)
(6/6/2014)
(5/20/2013)
(6/4/2014)
(3/8/2013)
(7/22/2022)
(3/9/2022)
(3/11/2013)
(6/26/2017)
(6/4/2014)
(6/4/2014)
(3/11/2013)
(6/11/2014)
(6/4/2014)
(3/7/2013)
(6/4/2014)
(1/3/2013)
(6/4/2014)
(3/20/2013)
(7/8/2013)
(6/4/2014)
(4/1/2022)
(6/4/2014)
(6/4/2014)
(6/4/2014)
(6/4/2014)
(3/7/2013)
(6/18/2014)
(6/5/2014)
(3/7/2013)
(1/8/2013)
(6/19/2014)
(6/4/2014)
(3/7/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mark James Snoozy's CRS (Customer Relationship Summary).
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