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TF

Tracy M. Fezza

EARLYBIRDCAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 3157142
TF

Professional summary

Tracy M Fezza is a registered financial professional currently at EARLYBIRDCAPITAL, INC. located in Melville, New York.

Tracy is registered as a RR (Registered Representative) and started their career in finance in 2009. Tracy has worked at 1 firm and has passed the Series 7TO, SIE, Series 99 and Series 11 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 Tracy M Fezza'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

September 28, 2009 - Present

EARLYBIRDCAPITAL, INC.

Office #1: One Huntington Quadrangle Suite 1c15, Melville, NY 11747Office #2: One Huntington Quadrangle, Suite 1c15, Melville, NY 11747
BD
CRD#: 28629
Melville, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 11/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 6/2/2013
Operations Professional Examination
General Industry/Product Exam
RR
Series 11
Date: 4/6/2009
Assistant Representative-Order Processing Qualification Exam
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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