CRD #146251 · FINRA BrokerCheck + SEC IAPD

Spartan Capital Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Spartan Capital Securities, LLC ranks #431 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #57 of 868 on the same disclosure sort used on the state browse page. Spartan Capital Securities, LLC carries 16 BrokerCheck disclosures across 5 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
5
branch offices
16
disclosures
#431 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 146251 Spartan Capital Securities, LLC

Spartan Capital Securities, LLC · Grade C · 16 disc · 3.20/office · Small firm

  • CRD 146251
  • GRADE C
  • DISC 16
  • REG 11
  • ARB 4
  • CIV 1
  • BRANCH 5
  • PER-OFF 3.20
  • RANK #431 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Belvedere Trading LLC (3.22 disc/office)

Belvedere Trading LLC3.22THE Benchmark Company, LLC3.17Great Point Capital LLC3.25Spartan Capital Sec… (this)3.20
Disclosures per office among small firm peers (lower is cleaner)

Spartan Capital Securities, LLC ranks #431 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.20 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

5 offices

FINRA: Small firm

Total disclosures

16 events

On FINRA BrokerCheck

Regulatory events

11 actions

69% of all disclosures

Disclosures per office

3.20 per office

16 ÷ 5 offices

Spartan Capital Securities, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

3 a cleaner per-office record than 4% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). This entry sits in this band. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 11
Arbitrations 4
Civil Events 1
Total 16

Counts for Spartan Capital Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 11 Arbitration 4 Civil 1

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
146251

Elevated disclosures per office

Spartan Capital Securities, LLC in the heavier-disclosure third

Spartan Capital Securities, LLC carries 16 BrokerCheck disclosures across 5 branch offices - a heavier-third raw book among graded firms (#431 of 20,055). Regulator-initiated events are 69% of the book (11 regulatory / 4 arbitration / 1 civil).

Spartan Capital Securities, LLC runs 3.20 disclosures per branch office (cleaner than only 96% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Spartan Capital Securities, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.83× state average

Spartan Capital Securities, LLC sits above the New York disclosure average

Spartan Capital Securities, LLC reports 16 BrokerCheck disclosures, 1.83× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Spartan Capital Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Spartan Capital Securities, LLC ranks #431 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #57 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Spartan Capital Securities, LLC?
A grade of C reflects Spartan Capital Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 16 total disclosures across 5 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Spartan Capital Securities, LLC have?
Spartan Capital Securities, LLC has 16 total FINRA disclosures, including 11 regulatory events, 4 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Spartan Capital Securities, LLC?
Spartan Capital Securities, LLC operates 5 branch offices and is classified by FINRA as a small firm, registered in NY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Spartan Capital Securities, LLC's disciplinary record?
You can verify Spartan Capital Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 146251. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Spartan Capital Securities, LLC's 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Spartan Capital Securities, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Spartan Capital Securities, LLC carries 16 disclosures across 5 branch offices (about 3.20 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Spartan Capital Securities, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Belvedere Trading LLC (IL) - 3.22 disclosures/office, nearest small firm peer to Spartan Capital Securities, LLC's 3.20
  • THE Benchmark Company, LLC (NY) - 3.17 disclosures/office, nearest small firm peer to Spartan Capital Securities, LLC's 3.20
  • Great Point Capital LLC (IL) - 3.25 disclosures/office, nearest small firm peer to Spartan Capital Securities, LLC's 3.20
  • Firms in NY - state roster that includes Spartan Capital Securities, LLC's registration home.
  • Red Flags in Advisor Records - How to read Spartan Capital Securities, LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 16 disclosures behind Spartan Capital Securities, LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Spartan Capital Securities, LLC.
  • Compare firms - put Spartan Capital Securities, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.