Vincent A. Caintic

BTIG

New York, NY 10022

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CRD#: 5378956

Professional summary

Vincent Albert Caintic, CFA, who also goes by VIncent Albert Caintic, Vincent Albert De La Cruz Caintic, is a registered financial professional currently at BTIG, LLC located in New York, New York.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 2007. Vincent has worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

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Aliases

Vincent Albert Caintic | Vincent Albert De La Cruz Caintic

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 Vincent Albert Caintic'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®

CFA

Chartered Financial Analyst

Experience

Current

March 4, 2024 - Present

BTIG, LLC

Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022

CRD#: 122225

New York, NY

Past

August 9, 2018 - February 21, 2024

STEPHENS

RIA

CRD#: 3496

ST PETERSBURG, FL

Past

September 27, 2016 - February 21, 2024

STEPHENS

CRD#: 3496

ST PETERSBURG, FL

Past

March 19, 2014 - September 21, 2016

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

June 9, 2011 - February 27, 2014

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

July 24, 2007 - May 18, 2011

WELLS FARGO SECURITIES, LLC

CRD#: 126292

NEW YORK, NY

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

Alabama
(3/4/2024)

Alaska
(3/4/2024)

Arizona
(3/4/2024)

Arkansas
(3/4/2024)

California
(3/4/2024)

Colorado
(3/4/2024)

Connecticut
(3/4/2024)

Delaware
(3/4/2024)

District of Columbia
(3/4/2024)

Florida
(3/4/2024)

Georgia
(3/4/2024)

Hawaii
(3/4/2024)

Idaho
(3/4/2024)

Illinois
(3/4/2024)

Indiana
(3/4/2024)

Iowa
(3/4/2024)

Kansas
(3/4/2024)

Kentucky
(3/4/2024)

Louisiana
(3/4/2024)

Maine
(3/4/2024)

Maryland
(3/4/2024)

Massachusetts
(3/4/2024)

Michigan
(3/4/2024)

Minnesota
(3/4/2024)

Mississippi
(3/4/2024)

Missouri
(3/4/2024)

Montana
(3/4/2024)

Nebraska
(3/4/2024)

Nevada
(3/4/2024)

New Hampshire
(3/4/2024)

New Jersey
(3/4/2024)

New Mexico
(3/4/2024)

New York
(3/4/2024)

North Carolina
(3/4/2024)

North Dakota
(3/4/2024)

Ohio
(3/5/2024)

Oklahoma
(3/4/2024)

Oregon
(3/4/2024)

Pennsylvania
(3/4/2024)

Rhode Island
(3/4/2024)

South Carolina
(3/4/2024)

South Dakota
(3/4/2024)

Tennessee
(3/4/2024)

Texas
(3/4/2024)

Utah
(3/4/2024)

Vermont
(3/4/2024)

Virginia
(3/4/2024)

Washington
(3/4/2024)

West Virginia
(3/4/2024)

Wisconsin
(3/4/2024)

Wyoming
(3/4/2024)

Exams

State Security Law Exam

Series 63

Date: 7/14/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 8/11/2007

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 8/6/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 7/23/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/7/2015

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

BTIG, LLC

BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Mailing Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Phone number

(415) 248-2200

Established

Delaware since 06/05/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CONDOR TRADING LP	MANAGER/MEMBER
CZEPIEL, KYLE ROBERT	CHIEF OPERATING OFFICER	2360785
ENDRES, BRIAN KENNETH	CFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	2673131
HAMILTON, AUSTIN	CHIEF COMPLIANCE OFFICER	2592315
LEROY, ANTON MAURICE	CHIEF EXECUTIVE OFFICER	2862204

Disclosures

Regulatory Event	11
Civil 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.

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Advisor Monitoring

Firm Stability Insights

Vincent A. Caintic

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Albert Caintic's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHENS

STEPHENS

MACQUARIE CAPITAL (USA) INC.

MORGAN STANLEY & CO. LLC

WELLS FARGO SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/14/2007

SIE

Date: 10/1/2018

Series 86

Date: 8/11/2007

Series 87

Date: 8/6/2007

Series 7

Date: 7/23/2007

Series 24

Date: 12/7/2015

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

BTIG, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BTIG, LLC

TRUST BUT VERIFY

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