Insights

Regulatory Scrutiny The firm is facing multiple FINRA-related disclosures including allegations of churning, customer fraud, and leadership disciplinary actions. This suggests a potential need for compliance enhancements, risk management solutions, and independent trade monitoring services to restore trust and meet regulatory standards.

Regulatory Action Opportunity Recent FINRA actions involving the CEO and chief compliance officer indicate an imperative for robust governance and controls. Sell opportunities exist for third-party compliance outsourcing, audit services, and training programs to strengthen supervisory frameworks.

Wealth Management Collaboration Spartan Capital operates in high net worth and ultra-high-net-worth segments with wealth management affiliations. Potential up-sell opportunities include private banking enhancements, asset allocation optimization tools, and exclusive advisory platforms tailored for HNW clients.

Growth Financing Potential The company has a revenue range of 100M to 250M and recently expanded equity fundraising via at-the-market offerings. There is a sales avenue for capital markets services, investment banking support, and technology-enabled capital-raising solutions to bolster liquidity and strategic initiatives.

Technology Enablement Listed tech stack elements (Cloudflare, Office 365, WordPress, analytics) indicate openness to tech enhancements. Opportunities exist to provide cybersecurity hardening, data analytics, CRM modernization, and client experience platforms to improve efficiency and client servicing.

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Spartan Capital Securities, LLC Tech Stack

Spartan Capital Securities, LLC uses 8 technology products and services including UserWay, Cloudflare, WordPress, and more. Explore Spartan Capital Securities, LLC's tech stack below.

UserWay
Accessibility
Cloudflare
Content Management System
WordPress
Content Management System
oEmbed
Dev Tools
Shopify
E-commerce
JSON-LD
Javascript Frameworks
Office 365
Office Suites
Google Analytics
Web Analytics

Media & News

Spartan Capital Securities, LLC's Email Address Formats

Spartan Capital Securities, LLC uses at least 4 email formats:

Spartan Capital Securities, LLC Email Formats	Example	Percentage
FLast@spartancapital.com	JDoe@spartancapital.com	97%
FirstLast@spartancapital.com	JohnDoe@spartancapital.com	1%
FMiddleLast@spartancapital.com	JMichaelDoe@spartancapital.com	1%
Last@spartancapital.com	Doe@spartancapital.com	1%

Frequently Asked Questions

What is Spartan Capital Securities, LLC's phone number?

You can contact Spartan Capital Securities, LLC's main corporate office by phone at

+1-212-293-****

. For more prospecting data, LeadIQ has access to up-to-date and accurate contact information within our platform. Find, capture, and sync contact data to your CRM and sales tools in one click.

What is Spartan Capital Securities, LLC's official website and social media links?

Spartan Capital Securities, LLC's official website is spartancapital.com and has social profiles on LinkedIn.

How much revenue does Spartan Capital Securities, LLC generate?

As of August 2026, Spartan Capital Securities, LLC's annual revenue is estimated to be $100M - $250M.

What is Spartan Capital Securities, LLC's NAICS code?

Spartan Capital Securities, LLC's NAICS code is 52 - Finance and Insurance.

How many employees does Spartan Capital Securities, LLC have currently?

As of August 2026, Spartan Capital Securities, LLC has approximately 88 employees across 3 continents, including North America, Asia and Europe. Key team members include Chief Market Economist: P. C., Vice President, Investment Banking: A. D. and Senior Private Wealth Manager: W. B. Explore Spartan Capital Securities, LLC's employee directory with LeadIQ.

What industry does Spartan Capital Securities, LLC belong to?

Spartan Capital Securities, LLC operates in the Financial Services industry.

What technology does Spartan Capital Securities, LLC use?

Spartan Capital Securities, LLC's tech stack includes UserWay, Cloudflare, WordPress, oEmbed, Shopify, JSON-LD, Office 365 and Google Analytics.

What is Spartan Capital Securities, LLC's email format?

Spartan Capital Securities, LLC's email format typically follows the pattern of FLast@spartancapital.com. Find more Spartan Capital Securities, LLC email formats with LeadIQ.

When was Spartan Capital Securities, LLC founded?

Spartan Capital Securities, LLC was founded in 2008.

Spartan Capital Securities, LLC

Q: What technology does Spartan Capital Securities, LLC use?

Spartan Capital Securities, LLC's tech stack includes Cloudflare, Open Graph, Cloudflare Insights, Really Simple Discovery, html5media.

Q: What is Spartan Capital Securities, LLC's NAICS code?

Spartan Capital Securities, LLC's NAICS code is 52 (Finance and Insurance).

Financial ServicesNew York, United States51-200 Employees

Spartan Capital Securities, LLC is a New York–based financial services firm offering a full range of investment guidance for high net worth individuals and institutions. The company emphasizes customized, relationship-driven service, tailoring asset allocation strategies to help clients meet specific financial goals while applying market knowledge and risk management to their portfolios. Its operations span advisory, wealth management, and related services, with additional affiliate entities providing private wealth management and insurance offerings as part of a broader suite for asset and risk management. Spartan Capital positions itself as a multi-faceted advisory and integrated financial solutions provider with global client relationships, supported by decades of industry experience.