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Mark James Snoozy

Spartan Capital Securities, LLC

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About Mark James Snoozy

Mark James Snoozy is a financial advisor with over 25 years of experience in the industry. Mark is currently registered with Spartan Capital Securities, LLC and has held previous registrations with several other firms including Laidlaw & Company (UK) LTD., Gunnallen Financial, Inc, S.W. Bach & Company, Harrison Securities, Inc., Benson York Group, Inc., Vanguard Capital, HD Brous & Co., Inc. and Walsh Manning Securities, LLC. Mark holds licenses for Series 4, 7, 24, 63 and 66. Mark is licensed in 47 states across the country.

Firm Information

Mark Snoozy 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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Mark Snoozy’s Registration & Firm History

NY

12/14/2012 - Present

Spartan Capital Securities, LLC (GARDEN CITY NY)

NY

10/28/2009 - 06/18/2012

LAIDLAW & COMPANY (UK) LTD. (ROSLYN HEIGHTS NY)

NY

05/10/2005 - 11/04/2009

GUNNALLEN FINANCIAL, INC (ROSALYN HEIGHTS NY)

NY

04/27/2004 - 04/20/2005

S.W. BACH & COMPANY (PORT WASHINGTON NY)

NY

11/29/2002 - 04/27/2004

HARRISON SECURITIES, INC. (PORT WASHINGTON NY)

NY

08/22/2002 - 12/03/2002

BENSON YORK GROUP, INC. (MELVILLE NY)

CA

07/02/1999 - 07/22/2002

VANGUARD CAPITAL (DEL MAR CA)

NY

08/04/1998 - 07/07/1999

HD BROUS & CO., INC. (GREAT NECK NY)

NA

03/10/1997 - 08/05/1998

WALSH MANNING SECURITIES, LLC

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Licenses & Designations

BOTH

Issued 10/21/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/20/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/04/2004

Series 24 - General Securities Principal Examination

BC

Issued 01/24/2000

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Mark James Snoozy. Review regulatory record here.
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