Frank O. Naula
Professional summary
Frank Oswaldo Naula was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Frank had worked at 10 firms, which includes HOLD BROTHERS CAPITAL LLC, WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, GREENTREE SECURITIES CORP., BROOKS WEINGER ROBBINS & LEEDS INC., J. W. GANT & ASSOCIATES INC., NORBAY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2011 - December 20, 2011
HOLD BROTHERS CAPITAL LLC
July 1, 2003 - January 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 3, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 21, 1994 - November 19, 1999
UBS FINANCIAL SERVICES INC.
May 13, 1992 - July 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 15, 1989 - June 5, 1992
LEHMAN BROTHERS INC.
December 6, 1988 - September 15, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 1988 - December 19, 1988
LEHMAN BROTHERS INC.
January 4, 1988 - April 21, 1988
GREENTREE SECURITIES CORP.
October 28, 1986 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
October 9, 1986 - October 31, 1986
J. W. GANT & ASSOCIATES, INC.
August 1, 1986 - October 14, 1986
NORBAY SECURITIES 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 |
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