Jose L. Valdez
Professional summary
Jose Luis Valdez JR, who also goes by Louis Valdez, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Jose is registered as a RR (Registered Representative) and started their career in finance in 1998. Jose has worked at 16 firms and has passed the Series 63, Series 7TO, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jose Luis Valdez JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2016 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006February 3, 2015 - February 17, 2016
BLACKBOOK CAPITAL, LLC
October 17, 2013 - February 11, 2015
COLUMBUS ADVISORY GROUP, LTD.
March 15, 2013 - August 1, 2013
EMPIRE ASSET MANAGEMENT COMPANY
October 24, 2011 - April 16, 2013
JOHN CARRIS INVESTMENTS LLC
September 10, 2010 - October 25, 2011
JOSEPH GUNNAR & CO. LLC
February 11, 2008 - September 13, 2010
WESTROCK ADVISORS, INC.
December 2, 2005 - February 11, 2008
CAPITAL GROWTH FINANCIAL, LLC
September 26, 2002 - December 21, 2005
GRANTA CAPITAL GROUP LLC
April 18, 2002 - October 4, 2002
NATIONAL SECURITIES CORPORATION
February 11, 2002 - June 12, 2002
PARK CAPITAL SECURITIES, LLC
May 1, 2001 - February 7, 2002
SOMERSET FINANCIAL GROUP, INC.
January 25, 2001 - April 30, 2001
GRAYSON FINANCIAL LLC
June 8, 2000 - January 25, 2001
MONTROSE CAPITAL MANAGEMENT LTD.
October 5, 1998 - June 7, 2000
COLEMAN & COMPANY SECURITIES, INC.
May 29, 1998 - September 29, 1998
ROYAL HUTTON SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/2/2016)
(2/2/2016)
(8/3/2017)
(7/29/2016)
(6/19/2019)
(10/25/2022)
(3/20/2018)
(2/2/2016)
(2/2/2016)
(2/27/2019)
(2/2/2016)
Exams
Series 7TO
Date: 9/12/2022
General Securities Representative ExaminationSeries 62
Date: 4/14/1998
Corporate Securities Limited Representative ExaminationFINRA
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.
