George C. Bergleitner
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.
George Charles Bergleitner III, who also goes by George C III Bergleitner, George Hamilton, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1984. George had worked at 20 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 6, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2013 - October 6, 2014
HOLD BROTHERS CAPITAL LLC
October 7, 2010 - October 19, 2011
SECUREVEST FINANCIAL GROUP
January 10, 2006 - October 7, 2010
SOUND SECURITIES, LLC
May 11, 2005 - January 9, 2006
LEMPERT BROTHERS INTERNATIONAL USA, INC.
July 17, 2002 - April 24, 2003
US TRADING LLC
May 1, 2002 - March 3, 2005
CARLIN EQUITIES, LLC
October 12, 2001 - May 8, 2002
A.B. WATLEY, INC.
August 28, 1998 - October 12, 2001
ON-SITE TRADING, INC.
March 27, 1997 - August 20, 1998
SCHONFELD SECURITIES, LLC
August 2, 1993 - November 28, 1994
SCHON-EX LLC
June 7, 1991 - May 15, 1995
SCHONFELD SECURITIES, LLC
May 1, 1991 - October 7, 1991
FLEET BROKERAGE SECURITIES, INC.
December 19, 1990 - May 20, 1991
CASTLE SECURITIES CORP.
September 12, 1990 - November 30, 1990
MALONE & ASSOCIATES, INC.
February 27, 1990 - May 11, 1990
WELLSHIRE SECURITIES, INC.
March 22, 1988 - February 13, 1990
J. T. MORAN & CO., INC.
August 11, 1986 - February 23, 1988
BREAN MURRAY & CO., INC.
June 6, 1986 - August 13, 1986
EAST COAST SECURITIES GROUP, INC.
September 6, 1985 - August 13, 1986
FIRST UNITED FUND,LTD.
December 24, 1984 - August 16, 1985
YORK SECURITIES, INC.
March 28, 1984 - June 9, 1984
FORESTERS FINANCIAL SERVICES, INC.
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 55
Date: 9/7/1999
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
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.
