Augustine J. Ortiz
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.
Augustine Joseph Ortiz III, who also goes by Augie Ortiz, was a registered financial professional .
Augustine is a previously registered financial professional and started their career in finance in 1987. Augustine had worked at 8 firms and has passed the Series 63, SIE 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
March 6, 2017 - May 22, 2017
HOLD BROTHERS CAPITAL LLC
March 2, 2001 - February 18, 2016
FIRST BROKERS SECURITIES LLC
August 1, 2000 - March 14, 2001
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
May 7, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
March 1, 1991 - April 26, 1996
HERZOG, HEINE, GEDULD, LLC
April 25, 1989 - March 4, 1991
GRUNTAL & CO., L.L.C.
January 21, 1987 - May 26, 1989
SECURITIES SETTLEMENT CORPORATION
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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