Brett Rosenberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brett Rosenberg was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1984. Brett had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2024 - March 28, 2025
HOLD BROTHERS CAPITAL LLC
June 1, 2023 - May 7, 2024
HOLD BROTHERS CAPITAL LLC
January 7, 2019 - December 21, 2021
HOLD BROTHERS CAPITAL LLC
September 8, 2015 - April 16, 2018
CHIMERA SECURITIES, LLC
May 11, 2006 - July 11, 2014
G-2 TRADING,LLC
September 19, 1997 - June 4, 2002
FIRST NEW YORK SECURITIES L.L.C.
June 5, 1997 - October 1, 1997
PREFERREDTRADE, INC.
August 24, 1995 - April 8, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
July 26, 1984 - July 17, 1995
UBS CAPITAL MARKETS L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
HOLD BROTHERS CAPITAL LLC
CRD#: 151864 / SEC#: , 8-68404
Contact information
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLDSOFTWARE.COM INC. | CLASS B MEMBER | |
| HOLD, GREGORY FRANCIS | CEO AND MANAGING MEMBER | 2169408 |
| HOLD TECHNOLOGIES, LLC | CLASS H MEMBER | |
| BARTON, ZEINA SOLANGE | FINOP | 5955936 |
| LESSICK, ILAN | EVP - FINANCE, OPERATIONS & COMPLIANCE | 4192324 |
| RICCA, ROBERT J | CHIEF COMPLIANCE OFFICER/AMLCO/TRADING & RISK MANAGER/RETAIL MANAGER | 1658885 |
| ROWE, GREGORY MICHAEL | COMPLIANCE OFFICER | 2559751 |
| ZAFIRIS, TOM | SVP - OPERATIONS | 1337844 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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