Mark A. Figueroa
Professional summary
Mark Anthony Figueroa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 2010. Prior to being barred, Mark had worked at 11 firms, which includes SPARTAN CAPITAL SECURITIES LLC, ARIVE CAPITAL MARKETS, FIRST STANDARD FINANCIAL COMPANY LLC, SW FINANCIAL, WESTPARK CAPITAL INC., CAPE SECURITIES INC., DALTON STRATEGIC INVESTMENT SERVICES INC., FIRST MIDWEST SECURITIES INC., J.D. NICHOLAS & ASSOCIATES INC., AVALON PARTNERS INC., LIBERTY PARTNERS FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2018 - February 22, 2019
SPARTAN CAPITAL SECURITIES, LLC
June 28, 2017 - September 7, 2018
ARIVE CAPITAL MARKETS
August 25, 2016 - June 26, 2017
FIRST STANDARD FINANCIAL COMPANY LLC
July 28, 2016 - September 23, 2016
SW FINANCIAL
July 1, 2015 - July 28, 2016
WESTPARK CAPITAL, INC.
May 29, 2014 - June 29, 2015
CAPE SECURITIES INC.
March 22, 2013 - July 1, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
June 19, 2012 - March 26, 2013
FIRST MIDWEST SECURITIES, INC.
June 23, 2011 - July 2, 2012
J.D. NICHOLAS & ASSOCIATES, INC.
August 17, 2010 - June 7, 2011
AVALON PARTNERS, INC.
February 10, 2010 - August 24, 2010
LIBERTY PARTNERS FINANCIAL SERVICES, 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.
