linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Nicholas Sunil Gupta

Vntr Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Nicholas? Claim Your Profile

About Nicholas Sunil Gupta

Nicholas Sunil Gupta is a financial professional with over 25 years of experience in the industry. Nicholas is currently registered with Vntr Securities LLC. Previously, Nicholas was registered with several other firms including Fusion Analytics Securities LLC, Morpheus Securities LLC, and Concept Capital Markets, LLC. Nicholas holds a Series 7, Series 63, and Series 24 license.

Firm Information

Nicholas Gupta is currently registered with Vntr Securities LLC. Vntr Securities LLC is a Limited Liability Company formed in April 2016. The firm is registered with the SEC and in all 50 states, the District of Columbia, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

12

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Nicholas Gupta’s Registration & Firm History

NY

12/21/2016 - Present

Vntr Securities LLC (New York NY)

NY

10/27/2014 - 12/07/2016

FUSION ANALYTICS SECURITIES LLC (New York NY)

NJ

04/29/2014 - 07/22/2014

MORPHEUS SECURITIES LLC (WEST ORANGE NJ)

NY

02/18/2014 - 03/20/2014

CONCEPT CAPITAL MARKETS, LLC (NEW YORK NY)

NY

07/12/2013 - 02/06/2014

DU PASQUIER & CO., INC. (NEW YORK NY)

NY

08/23/2004 - 07/10/2013

LAIDLAW & COMPANY (UK) LTD. (NEW YORK NY)

NY

03/04/1998 - 08/23/2004

SANDS BROTHERS & CO., LTD. (NEW YORK NY)

NY

01/12/1998 - 02/06/1998

CIBC OPPENHEIMER CORP. (NEW YORK NY)

MN

04/23/1997 - 12/27/1997

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

04/23/1997 - 12/27/1997

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

Not sure if Nicholas Sunil Gupta is right for you?

Licenses & Designations

BC

Issued 04/21/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/17/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/17/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Nicholas Sunil Gupta. Review regulatory record here.
Not sure if Nicholas Sunil Gupta is right for you?