Harry H. Warnick
Professional summary
Harry Harper Warnick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Harry is a previously registered financial professional and started their career in finance in 2018. Prior to being barred, Harry had worked at 4 firms, which includes SPARTAN CAPITAL SECURITIES LLC, D. BORAL CAPITAL, HOULIHAN LOKEY CAPITAL INC., B. RILEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2022 - September 12, 2024
SPARTAN CAPITAL SECURITIES, LLC
September 19, 2022 - November 4, 2022
D. BORAL CAPITAL
June 14, 2021 - October 14, 2022
HOULIHAN LOKEY CAPITAL, INC.
June 26, 2020 - May 20, 2021
D. BORAL CAPITAL
June 7, 2018 - March 13, 2020
B. RILEY SECURITIES, 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
Series 79TO
Date: 8/5/2019
Investment Banking Registered Representative ExaminationCurrent 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
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