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MV

Marc G. Vantricht

EARLYBIRDCAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2837440
MV

Professional summary

Marc Gunther Vantricht is a registered financial professional currently at EARLYBIRDCAPITAL, INC. located in Melville, New York.

Marc is registered as a RR (Registered Representative) and started their career in finance in 1997. Marc has worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Marc Gunther Vantricht'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

August 25, 2016 - Present

EARLYBIRDCAPITAL, INC.

Office #1: One Huntington Quadrangle Suite 1c15, Melville, NY 11747Office #2: 366 Madison Ave. 8th Floor, Ny, NY 10017
BD
CRD#: 28629
Melville, NY
Past

June 24, 2013 - June 30, 2016

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

February 7, 2013 - July 3, 2013

FAMILY MANAGEMENT SECURITIES, LLC

BD
CRD#: 44319
NEW YORK, NY
Past

November 28, 2012 - February 6, 2013

GRACE FINANCIAL GROUP LLC

BD
CRD#: 104133
SOUTHHAMPTON, NY
Past

March 18, 1997 - April 28, 1998

ROTHSCHILD & CO US INC.

BD
CRD#: 2910
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(8/25/2016)
RR
Connecticut
(8/25/2016)
RR
Illinois
(8/25/2016)
RR
Massachusetts
(8/25/2016)
RR
Minnesota
(8/25/2016)
RR
Nevada
(8/6/2019)
RR
New Jersey
(8/25/2016)
RR
New York
(8/25/2016)
RR
Pennsylvania
(8/25/2016)
RR
Texas
(9/28/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/2/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

EI
EARLYBIRDCAPITAL, INC.
CORNELL SECURITIES CONSULTANTS, INC. | SOUTHEAST RESEARCH PARTNERS, INC. | EARLYBIRDCAPITAL.COM INC. | EARLYBIRDCAPITAL, INC.

CRD#: 28629 / SEC#: , 8-43828

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
One Huntington Quadrangle, Suite 1c15, Melville, NY 11747
Mailing Address
1 Huntington Quadrangle 1c15, Melville, NY 11747
Phone number
+1 (631) 770-0600
Established
Delaware since 05/09/1991
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EBC HOLDINGS INC.HOLDING COMPANY
KAUFMANN, AMY ELIZABETHEXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER2776989
LEVINE, STEVEN ARTHURPRESIDENT/DIRECTOR2714473
NUSSBAUM, DAVID MARTINCHAIRMAN/DIRECTOR1631483
PENDERGAST, MICHELLE MARIEFINOP/CFO5441721

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

EARLYBIRDCAPITAL, INC.

CRD#: 28629Melville, NY 11747

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