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Thomas John Briguccia

Spartan Capital Securities, LLC

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About Thomas John Briguccia

Thomas John Briguccia is a registered representative with Spartan Capital Securities, LLC. Thomas has been in the securities industry since August 4, 1993, and has held previous positions at K.C. WARD FINANCIAL, JOSEPH GUNNAR & CO. LLC, BRIARWOOD INVESTMENT COUNSEL, MAIDSTONE FINANCIAL, INC., FIRST UNITED EQUITIES CORPORATION, LEW LIEBERBAUM & CO., INC., and THE HARRIMAN GROUP, INC. Thomas holds the Series 7, Series 63, Series 79TO and SIE licenses. Thomas is registered with the following states: Alabama, California, Connecticut, Florida, Idaho, Indiana, Nevada, New York, and South Carolina.

Firm Information

Thomas Briguccia 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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Thomas Briguccia’s Registration & Firm History

NY

01/02/2018 - Present

Spartan Capital Securities, LLC (Ronkonkoma NY)

NY

09/25/2009 - 12/31/2017

K.C. WARD FINANCIAL (RONKONKOMA NY)

NY

12/03/1997 - 09/25/2009

JOSEPH GUNNAR & CO. LLC (NEW YORK NY)

NY

11/21/1997 - 12/01/1997

BRIARWOOD INVESTMENT COUNSEL (NEW YORK NY)

NY

04/21/1997 - 11/21/1997

MAIDSTONE FINANCIAL, INC. (NEW YORK NY)

NY

07/18/1995 - 04/16/1997

FIRST UNITED EQUITIES CORPORATION (NEW YORK NY)

NY

11/11/1993 - 07/18/1995

LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)

NY

05/13/1993 - 08/24/1993

THE HARRIMAN GROUP, INC. (JERICHO NY)

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Licenses & Designations

BC

Issued 06/04/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Thomas John Briguccia. Review regulatory record here.
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