Spartan Capital Securities Review

Spartan Capital Securities provides an array of investment banking services. This includes equity sales & trading, debt capital markets advisory & financing solutions and institutional prime brokerage.

The firm also specializes in private placements of securities such as equity, debt or preferred shares that are sold to limited numbers of investors.

Company Overview

Spartan Capital Securities places great emphasis on customer experience. Reviews about this company highlight their approach to tailored services and building long-lasting relationships with their customers, as well as their dedication to transparent fees and trading executions.

Spartan Capital Securities must abide by stringent regulatory standards as a broker-dealer, so this section will explore its compliance history and any legal obstacles encountered along the way.

Spartan Capital Securities must abide by federal and state regulations as a registered broker-dealer, so this section will examine their compliance history in terms of any disciplinary actions, fines or customer complaints that have come up over time. Getting to know this firm better provides insight into their place within the financial industry compared to competitors – plus insight into its future trajectory.

Services Offered

Spartan Capital Securities offers an array of services designed to assist their clients in meeting their financial goals, such as equity sales & trading, debt capital markets advisory and financing solutions, institutional prime brokerage services as well as research & advisory services to make informed investment decisions.

Our fixed income team specializes in retail and institutional trading of municipal bonds, corporate bonds, agency bonds, treasuries, certificates of deposit mortgage-backed securities and foreign bonds. Additionally, they can assist clients with new issues like Initial Public Offerings (IPO).

Spartan Capital Securities is best-known for their groundbreaking Merchant Cash Advance (MCA) products. MCAs provide small and midsized businesses with working capital they need for expansion purposes.


spartan capital securities complaints provides comprehensive wealth management and capital markets advisory and financing solutions, catering to both individuals and large corporations alike. Their suite of financial advisory services includes equity sales and trading, debt capital markets advisory solutions and institutional prime brokerage.

The Law Offices of Robert Wayne Pearce have represented numerous clients who have suffered due to advisor misconduct at Spartan Capital Securities. Furthermore, our firm has conducted investigations regarding various FINRA and state regulatory customer complaints against this broker dealer.

Spartan not only offers equity and debt trading services, but they also underwrite new issue offerings – such as Initial Public Offerings of corporate and municipal debt securities as well as equity securities – on the stock exchanges. Notably, Spartan was sole underwriter for Aimei’s $20 million IPO at this year’s very sluggish IPO market.


Spartan Capital Securities has long been subject to customer complaints. State and self-regulatory body disclosure events involving the broker dealer have occurred multiple times; several brokers were named in customer arbitration awards as responsible for misconduct that caused investment losses.

Customer reviews speak highly of our customer service experience; however, some have registered complaints that point out lengthy response times and unsuitable solutions. Careful examination can reveal whether these are isolated incidents or indicative of a larger problem.

Spartan Capital Securities was chosen as sole underwriter for Aimei’s initial public offering (IPO), one of two deals closed this year amid a generally stagnant IPO market. Spartan’s success stands out as an indicator of their firm’s ability to work in challenging environments and bode well for future company expansion. Furthermore, Spartan’s corporate social responsibility efforts support charitable organizations devoted to education and poverty relief initiatives.