Bruce Quackenbush
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.
Bruce Quackenbush, who also goes by Bruce Kalloch Quackenbush, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1994. Bruce had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 57 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
July 26, 2016 - October 9, 2017
HOLD BROTHERS CAPITAL LLC
March 1, 2013 - July 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2013 - July 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2011 - June 18, 2012
DEUTSCHE BANK SECURITIES INC.
April 19, 2011 - June 18, 2012
DEUTSCHE BANK SECURITIES INC.
March 22, 2010 - April 20, 2011
G-2 TRADING,LLC
January 16, 2004 - April 28, 2011
BRUNSWICK PARTNERS
April 27, 1994 - January 17, 1995
SMBC NIKKO SECURITIES AMERICA, 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
Current 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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