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MM

Michael R. Marino

ERNST & YOUNG CAPITAL ADVISORS
Houston, TX 77010
Some features on this profile are disabled
CRD#: 3078194
MM

Professional summary

Michael Richard Marino is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in Houston, Texas.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86 and Series 7 exams.

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 Michael Richard Marino's 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

July 7, 2015 - Present

ERNST & YOUNG CAPITAL ADVISORS, LLC

Office #1: 1401 Mckinney Street Suite 1200, Houston, TX 77010
BD
CRD#: 152514
Houston, TX
Past

September 3, 2009 - October 14, 2014

STEPHENS

BD
CRD#: 3496
HOUSTON, TX
Past

November 29, 2000 - August 13, 2009

JOHNSON RICE & COMPANY L.L.C.

BD
CRD#: 19524
NEW ORLEANS, LA

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
Alabama
(11/10/2015)
RR
Arizona
(8/7/2017)
RR
Arkansas
(10/23/2017)
RR
California
(11/10/2015)
RR
Colorado
(11/10/2015)
RR
Connecticut
(11/10/2015)
RR
District of Columbia
(11/10/2015)
RR
Florida
(11/10/2015)
RR
Georgia
(11/10/2015)
RR
Illinois
(11/10/2015)
RR
Indiana
(11/10/2015)
RR
Iowa
(10/23/2017)
RR
Kansas
(11/10/2015)
RR
Kentucky
(11/10/2015)
RR
Louisiana
(11/10/2015)
RR
Maryland
(11/10/2015)
RR
Massachusetts
(11/10/2015)
RR
Michigan
(11/10/2015)
RR
Minnesota
(11/10/2015)
RR
Mississippi
(11/10/2015)
RR
Missouri
(11/10/2015)
RR
Nebraska
(11/10/2015)
RR
Nevada
(4/8/2020)
RR
New Hampshire
(11/10/2015)
RR
New Jersey
(11/10/2015)
RR
New Mexico
(8/7/2017)
RR
New York
(11/10/2015)
RR
North Carolina
(11/10/2015)
RR
North Dakota
(11/10/2015)
RR
Ohio
(11/10/2015)
RR
Oklahoma
(11/10/2015)
RR
Oregon
(8/7/2017)
RR
Pennsylvania
(11/10/2015)
RR
South Carolina
(11/3/2017)
RR
South Dakota
(10/26/2022)
RR
Texas
(7/7/2015)
RR
Utah
(11/10/2015)
RR
Virginia
(11/10/2015)
RR
Washington
(11/14/2016)
RR
West Virginia
(11/14/2016)
RR
Wisconsin
(11/10/2015)
RR
Wyoming
(11/14/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/25/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 2/28/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 1/24/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 11/27/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

E&
ERNST & YOUNG CAPITAL ADVISORS, LLC
ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514 / SEC#: , 8-68461

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

Main Address
One Manhattan West, New York, NY 10001
Mailing Address
One Manhattan West, New York, NY 10001
Phone number
(212) 773-3000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EYCA HOLDINGS LLCDIRECT OWNER
COSTA, SERGIOCHIEF COMPLIANCE OFFICER5746445
JOHNSON, PUTRA LFINOP/OFFICER5025564
ULRICH, TODD WILLIAMCHIEF EXECUTIVE OFFICER5405066

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

ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514Houston, TX 77010

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