MS
Mark J. Snoozy
SPARTAN CAPITAL SECURITIES
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 2822325
MS
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
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark James Snoozy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 14, 2012 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 595 Stewart Avenue 8th Floor, Garden City, NY, 11530BD
CRD#: 146251
Garden City, NY
Past
October 28, 2009 - June 18, 2012
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
ROSLYN HEIGHTS, NY
Past
May 10, 2005 - November 4, 2009
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
ROSALYN HEIGHTS, NY
Past
April 27, 2004 - April 20, 2005
S.W. BACH & COMPANY
BD
CRD#: 43522
PORT WASHINGTON, NY
Past
November 29, 2002 - April 27, 2004
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
Past
August 22, 2002 - December 3, 2002
BENSON YORK GROUP, INC.
BD
CRD#: 40231
MELVILLE, NY
Past
July 2, 1999 - July 22, 2002
VANGUARD CAPITAL
BD
CRD#: 22081
DEL MAR, CA
Past
August 4, 1998 - July 7, 1999
HD BROUS & CO., INC.
BD
CRD#: 22062
GREAT NECK, NY
Past
March 10, 1997 - August 5, 1998
WALSH MANNING SECURITIES, LLC
BD
CRD#: 30826
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(6/4/2014)
RR
Arizona(3/16/2022)
RR
California(12/14/2012)
RR
Colorado(12/17/2012)
RR
Connecticut(6/4/2014)
RR
Delaware(6/5/2014)
RR
District of Columbia(6/5/2014)
RR
Florida(3/8/2013)
RR
Georgia(6/4/2014)
RR
Idaho(6/4/2014)
RR
Illinois(6/4/2014)
RR
Indiana(1/3/2013)
RR
Iowa(3/8/2013)
RR
Kansas(6/12/2014)
RR
Kentucky(6/6/2014)
RR
Louisiana(5/20/2013)
RR
Maine(6/4/2014)
RR
Maryland(3/8/2013)
RR
Massachusetts(7/22/2022)
RR
Michigan(3/9/2022)
RR
Minnesota(3/11/2013)
RR
Mississippi(6/26/2017)
RR
Missouri(6/4/2014)
RR
Montana(6/4/2014)
RR
Nebraska(3/11/2013)
RR
Nevada(6/11/2014)
RR
New Hampshire(6/4/2014)
RR
New Jersey(3/7/2013)
RR
New Mexico(6/4/2014)
RR
New York(1/3/2013)
RR
North Carolina(6/4/2014)
RR
North Dakota(3/20/2013)
RR
Ohio(7/8/2013)
RR
Oklahoma(6/4/2014)
RR
Oregon(4/1/2022)
RR
Pennsylvania(6/4/2014)
RR
Puerto Rico(6/4/2014)
RR
Rhode Island(6/4/2014)
RR
South Carolina(6/4/2014)
RR
South Dakota(3/7/2013)
RR
Texas(6/18/2014)
RR
Utah(6/5/2014)
RR
Virginia(3/7/2013)
RR
Washington(1/8/2013)
RR
West Virginia(6/19/2014)
RR
Wisconsin(6/4/2014)
RR
Wyoming(3/7/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SC
SPARTAN CAPITAL SECURITIES, LLC
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
45 Broadway 19th Floor, New York, NY 10006
Mailing Address
45 Broadway 19th Floor, New York, NY 10006
Phone number
(212) 293-0123
Established
New York since 06/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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
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.
