Nicholas S. Gupta

VNTR SECURITIES LLC

New York, NY 10016

Some features on this profile are disabled

CRD#: 2813131

Professional summary

Nicholas Sunil Gupta is a registered financial professional currently at VNTR SECURITIES LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1997. Nicholas has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Sunil Gupta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 21, 2016 - Present

VNTR SECURITIES LLC

Office #1: 152 Madison Avenue 7th Floor, New York, NY, 10016Office #2: 152 Madison Avenue 7th Floor, New York, NY, 10016

CRD#: 283856

New York, NY

Past

October 27, 2014 - December 7, 2016

FUSION ANALYTICS SECURITIES LLC

CRD#: 124245

New York, NY

Past

April 29, 2014 - July 22, 2014

MORPHEUS SECURITIES LLC

CRD#: 45561

WEST ORANGE, NJ

Past

February 18, 2014 - March 20, 2014

COWEN PRIME SERVICES LLC

CRD#: 153397

NEW YORK, NY

Past

July 12, 2013 - February 6, 2014

DU PASQUIER & CO., INC.

CRD#: 24750

NEW YORK, NY

Past

August 23, 2004 - July 10, 2013

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

March 4, 1998 - August 23, 2004

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

Past

January 12, 1998 - February 6, 1998

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

April 23, 1997 - December 27, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 23, 1997 - December 27, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/4/2019)

Connecticut
(1/24/2018)

Delaware
(8/5/2021)

District of Columbia
(6/22/2023)

Florida
(2/18/2021)

Indiana
(3/21/2018)

Maryland
(2/18/2021)

Massachusetts
(8/5/2021)

Minnesota
(6/12/2023)

New Jersey
(8/12/2022)

New York
(1/24/2018)

Texas
(1/24/2018)

Virginia
(6/5/2018)

Washington
(7/20/2020)

Wyoming
(7/31/2020)

Exams

State Security Law Exam

Series 63

Date: 4/21/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/17/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VNTR SECURITIES LLC

CRD#: 283856 / SEC#: , 8-69768

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

152 Madison Avenue 7th Floor, New York, NY, 10016

Mailing Address

152 Madison Avenue 7th, New York, NY, 10016

Phone number

(347) 284-0110

Established

Delaware since 04/11/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MANHATTAN VENTURE HOLDINGS LLC	DIRECT OWNER
BRACHFELD, ERIC LOUIS	CEO/CCO	2297883
NIXON, JON ALAN	FINOP	4710715

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas S. Gupta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Sunil Gupta's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUSION ANALYTICS SECURITIES LLC

MORPHEUS SECURITIES LLC

COWEN PRIME SERVICES LLC

DU PASQUIER & CO., INC.

LAIDLAW & COMPANY (UK) LTD.

SANDS BROTHERS & CO., LTD.

CIBC WORLD MARKETS CORP.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/21/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/17/1997

Series 24

Date: 3/17/2008

FINRA

Current Firm

VNTR SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

VNTR SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors