Timothy P. Mccoy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Patrick Mccoy, who also goes by Timothy Mccoy, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1997. Timothy had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2014 - December 18, 2014
SPARTAN CAPITAL SECURITIES, LLC
July 11, 2013 - April 8, 2014
CAPE SECURITIES INC.
April 20, 2011 - July 15, 2011
SW FINANCIAL
November 16, 2009 - July 29, 2010
STONEX SECURITIES INC.
May 28, 2008 - October 6, 2008
EMMETT A LARKIN COMPANY, INC.
March 3, 2005 - November 1, 2007
J.P. TURNER & COMPANY, L.L.C.
January 9, 2004 - April 1, 2004
LH ROSS & COMPANY, INC.
May 22, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
February 25, 2003 - June 18, 2003
GUNNALLEN FINANCIAL, INC
April 23, 2002 - October 3, 2002
GUNNALLEN FINANCIAL, INC
October 5, 2001 - May 15, 2002
SEABOARD SECURITIES, INC.
May 10, 2001 - October 4, 2001
SEABOARD SECURITIES, INC.
August 20, 1999 - May 8, 2000
SEABOARD SECURITIES, INC.
March 26, 1999 - June 17, 1999
SEABOARD SECURITIES, INC.
August 12, 1998 - September 21, 1998
TASIN & COMPANY, INC.
January 12, 1998 - February 5, 1998
FAIRCHILD FINANCIAL GROUP, INC.
November 25, 1997 - November 28, 1997
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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.
