Mark J. Snoozy
Professional summary
Mark James Snoozy is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark James Snoozy's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 14, 2012 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 595 Stewart Avenue 8th Floor, Garden City, NY, 11530October 28, 2009 - June 18, 2012
LAIDLAW & COMPANY (UK) LTD.
May 10, 2005 - November 4, 2009
GUNNALLEN FINANCIAL, INC
April 27, 2004 - April 20, 2005
S.W. BACH & COMPANY
November 29, 2002 - April 27, 2004
HARRISON SECURITIES, INC.
August 22, 2002 - December 3, 2002
BENSON YORK GROUP, INC.
July 2, 1999 - July 22, 2002
VANGUARD CAPITAL
August 4, 1998 - July 7, 1999
HD BROUS & CO., INC.
March 10, 1997 - August 5, 1998
WALSH MANNING SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
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.
