Tom Zafiris

HOLD BROTHERS CAPITAL LLC

NEW YORK, NY 10119-1510

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CRD#: 1337844

Professional summary

Tom Zafiris, who also goes by Thomas Zafiris, is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.

Tom is registered as a RR (Registered Representative) and started their career in finance in 1993. Tom has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Zafiris

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 Tom Zafiris'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®

None

Experience

Current

October 7, 2019 - Present

HOLD BROTHERS CAPITAL LLC

Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

CRD#: 151864

NEW YORK, NY

Past

June 8, 1999 - October 10, 2018

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

October 23, 1996 - June 11, 1999

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

April 24, 1995 - October 15, 1996

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

CRD#: 16139

NEW YORK, NY

Past

January 14, 1993 - March 16, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 13, 1993 - February 19, 1993

BERKELEY SECURITIES CORPORATION

CRD#: 8397

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

New Jersey
(10/22/2019)

New York
(3/9/2020)

Exams

State Security Law Exam

Series 63

Date: 1/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/11/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 6/1/2020

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

HOLD BROTHERS CAPITAL LLC

CRD#: 151864 / SEC#: , 8-68404

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

Mailing Address

One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

Phone number

(212) 792-0900

Established

New Jersey since 05/04/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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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Firm Stability Insights

Tom Zafiris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tom Zafiris's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

CANTOR FITZGERALD SECURITIES

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

PRUDENTIAL EQUITY GROUP, LLC

BERKELEY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/1993

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1992

Series 24

Date: 2/11/2022

Series 27

Date: 6/1/2020

FINRA

Current Firm

HOLD BROTHERS CAPITAL LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOLD BROTHERS CAPITAL LLC

TRUST BUT VERIFY

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