Harry Warnick: FINRA Bars Fired Spartan Capital Advisor

Former New York City financial advisor Harry Warnick (CRD# 6916323) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities, having previously been registered with Benchmark Investments.

A Letter of Acceptance, Waiver, and Consent (No. 2024083348501) details FINRA’s disciplinary action against Mr. Warnick. Filed in September 2025, it alleges that he refused to cooperate with a FINRA investigation into his conduct. The investigation, according to the letter, originated in a review of a filing by Spartan Capital Securities, which disclosed that it had terminated his registration while investigating him “for an undisclosed outside business activity, private securities transaction, and outside securities account.” As FINRA explains, Spartan disclosed that the review concluded that Mr. Warnick “opened an investment account at another broker dealer and conducted a private securities transaction without prior approval and disclosure to the Firm in violation of the Firm’s policy and regulatory rules.”

As part of its investigation, FINRA sent him a request to produce documents and information, per FINRA rules. Instead of producing the information or documents, he allegedly informed FINRA via counsel that he would not do so. FINRA found that his refusal violated Rules 8210 and 2010, and it consequently barred him from associating with any member firm in all capacities.

Mr. Warnick’s BrokerCheck report discloses his termination from Spartan Capital Securities. Filed in September 2024, it states that the firm fired him after he failed to cooperate with an internal review “for conducting outside business activity with a client of the firm, participation in a private securities transaction and outside securities account activity without disclosure to or prior approval of the firm, along with use of his personal email address in order to disguise the transaction from the firm.”

According to the Financial Industry Regulatory Authority, Harry Warnick holds five years of securities industry experience. Most recently based in New York City, he was last registered as a broker with Spartan Capital Securities from 2022 until 2024. His registration history includes Benchmark Investments, Houlihan Lokey Capital, and B. Riley FBR. His credentials include the passage of six securities industry qualifying exams: the Research Analyst Exam – Part II Regulations Module, or Series 87; the Research Analyst Exam – Part I Analysis Module, or Series 86; the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; the General Securities Representative Examination, or Series 7; and the Uniform Securities Agent State Law Examination, or Series 63. He has been barred from acting as a broker or otherwise associating with a broker-dealer firm. (Information current as of September 17, 2025.)

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