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Jose Luis Valdez

Spartan Capital Securities, LLC

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About Jose Luis Valdez

Jose Luis Valdez is a registered representative with Spartan Capital Securities, LLC. Jose Luis is currently licensed in 11 states and has over 24 years of experience in the financial industry. He has worked for several firms prior to joining Spartan Capital Securities including BLACKBOOK CAPITAL, LLC, COLUMBUS ADVISORY GROUP, LTD., EMPIRE ASSET MANAGEMENT COMPANY, and JOSEPH GUNNAR & CO. LLC. He has a broad range of experience in the securities industry, including investment banking, equity research, and wealth management.

Firm Information

Jose Valdez is currently registered with Spartan Capital Securities, LLC. Spartan Capital Securities, LLC is a Limited Liability Company formed in June 2007. It is registered to do business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has an active SEC registration and is subject to regulatory oversight.

Not reported

Assets Under Management

Not reported

Total Clients

83

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Jose Valdez’s Registration & Firm History

NY

02/02/2016 - Present

Spartan Capital Securities, LLC (NEW YORK NY)

NY

02/03/2015 - 02/17/2016

BLACKBOOK CAPITAL, LLC (New York NY)

NY

10/17/2013 - 02/11/2015

COLUMBUS ADVISORY GROUP, LTD. (NEW YORK NY)

NY

03/15/2013 - 08/01/2013

EMPIRE ASSET MANAGEMENT COMPANY (NEW YORK NY)

NJ

10/24/2011 - 04/16/2013

JOHN CARRIS INVESTMENTS LLC (HOBOKEN NJ)

NY

09/10/2010 - 10/25/2011

JOSEPH GUNNAR & CO. LLC (NEW YORK NY)

NY

02/11/2008 - 09/13/2010

WESTROCK ADVISORS, INC. (NEW YORK NY)

NY

12/02/2005 - 02/11/2008

CAPITAL GROWTH FINANCIAL, LLC (NEW YORK NY)

NY

09/26/2002 - 12/21/2005

SKY CAPITAL LLC (NEW YORK NY)

FL

04/18/2002 - 10/04/2002

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

NY

02/11/2002 - 06/12/2002

PARK CAPITAL SECURITIES, LLC (NEW YORK NY)

NJ

05/01/2001 - 02/07/2002

SOMERSET FINANCIAL GROUP, INC. (PRINCETON NJ)

NJ

01/25/2001 - 04/30/2001

GRAYSON FINANCIAL LLC (RED BANK NJ)

NY

06/08/2000 - 01/25/2001

MONTROSE CAPITAL MANAGEMENT LTD. (NEW YORK NY)

NY

10/05/1998 - 06/07/2000

COLEMAN & COMPANY SECURITIES, INC. (NEW YORK NY)

NY

05/29/1998 - 09/29/1998

ROYAL HUTTON SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/25/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/12/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/14/1998

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 9 public disclosures for Jose Luis Valdez. Review regulatory record here.
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