Anthony L. Garcia
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.
Anthony Lois Garcia, who also goes by Anthony L Garcia, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2007. Anthony had worked at 9 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
May 2, 2016 - February 22, 2019
SPARTAN CAPITAL SECURITIES, LLC
April 1, 2016 - May 4, 2016
NEWBRIDGE SECURITIES CORPORATION
September 26, 2014 - April 19, 2016
LAIDLAW & COMPANY (UK) LTD.
February 2, 2011 - October 24, 2014
SPARTAN CAPITAL SECURITIES, LLC
August 31, 2010 - February 15, 2011
CHARLES MORGAN SECURITIES, INC.
December 4, 2009 - September 14, 2010
JOHN THOMAS FINANCIAL
September 17, 2009 - November 9, 2009
PRESTIGE FINANCIAL CENTER, INC.
February 3, 2009 - August 7, 2009
AVALON PARTNERS, INC.
January 9, 2009 - January 27, 2009
MCGINN, SMITH & CO., INC.
October 1, 2007 - January 12, 2009
PRESTIGE FINANCIAL CENTER, INC.
July 16, 2007 - October 1, 2007
AVALON PARTNERS, INC.
March 28, 2007 - July 19, 2007
ECHOTRADE 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
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.
