EM
Erik W. Marth
MIZUHO SECURITIES USA LLC
SAN FRANCISCO, CA 94104
Some features on this profile are disabled
CRD#: 4575568
EM
Professional summary
Erik William Marth, who also goes by Erik William Marth, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in San Francisco, California and GREENHILL & CO., LLC located in New York, New York.
Erik is registered as a RR (Registered Representative) and started their career in finance in 2002. Erik has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erik William Marth
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.
CRS (Client Relationship Summary) - BD
Click below to view Erik William Marth'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®
NoneExperience
Current
March 3, 2023 - Present
MIZUHO SECURITIES USA LLC
Office #1: 235 Pine Street, San Francisco, CA 94104BD
CRD#: 19647
SAN FRANCISCO, CA
Current
December 6, 2023 - Present
GREENHILL & CO., LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020BD
CRD#: 40290
NEW YORK, NY
Past
April 15, 2021 - January 15, 2023
LIONTREE ADVISORS LLC
BD
CRD#: 164399
San Francisco, CA
Past
November 9, 2017 - March 17, 2021
JEFFERIES LLC
BD
CRD#: 2347
SAN FRANCISCO, CA
Past
March 22, 2004 - November 8, 2017
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MENLO PARK, CA
Past
October 25, 2002 - March 16, 2004
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alabama(3/3/2023)
RR
Alaska(3/3/2023)
RR
Arizona(3/3/2023)
RR
Arkansas(3/3/2023)
RR
California(3/3/2023)
RR
Colorado(3/3/2023)
RR
Connecticut(3/3/2023)
RR
Delaware(3/3/2023)
RR
District of Columbia(3/3/2023)
RR
Florida(3/3/2023)
RR
Georgia(3/3/2023)
RR
Hawaii(3/3/2023)
RR
Idaho(3/3/2023)
RR
Illinois(3/3/2023)
RR
Indiana(3/3/2023)
RR
Iowa(3/3/2023)
RR
Kansas(3/3/2023)
RR
Kentucky(3/3/2023)
RR
Louisiana(3/3/2023)
RR
Maine(3/3/2023)
RR
Maryland(3/3/2023)
RR
Massachusetts(3/3/2023)
RR
Michigan(3/3/2023)
RR
Minnesota(3/3/2023)
RR
Mississippi(3/3/2023)
RR
Missouri(3/3/2023)
RR
Montana(3/3/2023)
RR
Nebraska(3/3/2023)
RR
Nevada(3/3/2023)
RR
New Hampshire(3/3/2023)
RR
New Jersey(3/3/2023)
RR
New Mexico(3/3/2023)
RR
New York(3/3/2023)
RR
North Carolina(12/19/2023)
RR
North Dakota(3/3/2023)
RR
Ohio(3/3/2023)
RR
Oklahoma(3/3/2023)
RR
Oregon(3/3/2023)
RR
Pennsylvania(3/3/2023)
RR
Puerto Rico(3/3/2023)
RR
Rhode Island(3/3/2023)
RR
South Carolina(3/3/2023)
RR
South Dakota(3/3/2023)
RR
Tennessee(3/3/2023)
RR
Texas(3/3/2023)
RR
Utah(3/3/2023)
RR
Vermont(3/3/2023)
RR
Virginia(3/3/2023)
RR
Washington(3/3/2023)
RR
West Virginia(3/3/2023)
RR
Wisconsin(3/3/2023)
RR
Wyoming(3/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
G&
GREENHILL & CO., LLC
GREENHILL & CO., LLC
CRD#: 40290 / SEC#: , 8-49000
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1271 Avenue Of The Americas, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 389-1500
Established
New York since 01/19/1996
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENHILL & CO., INC. | OWNER | |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| FALEIRO, GITANJALI PINTO | GENERAL COUNSEL | 4250865 |
| KATZ, MICHAL | MANGING DIRECTOR - HEAD OF INVESTMENT BANKING | 2813944 |
| LASKY, MARK RICHARD | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6005542 |
| MIZUHO SECURITIES USA LLC | MANAGER | 19647 |
| RIZZIERI, GERALD ANTHONY | CHIEF EXECUTIVE OFFICER | 1751181 |
Disclosures
| Regulatory Event | 1 |
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.
