Robert J. Ricca

HOLD BROTHERS CAPITAL LLC

NEW YORK, NY 10119-1510

Some features on this profile are disabled

CRD#: 1658885

Professional summary

Robert J Ricca is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2002. Robert has worked at 5 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, SIE, Series 57, Series 87, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Robert J Ricca'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

January 5, 2016 - Present

HOLD BROTHERS CAPITAL LLC

Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510Office #2: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

CRD#: 151864

NEW YORK, NY

Past

February 17, 2015 - September 8, 2015

FTX CAPITAL MARKETS LLC

CRD#: 158816

NEW YORK, NY

Past

August 7, 2006 - February 13, 2015

DAVIS SECURITIES LLC

CRD#: 138829

NEW YORK, NY

Past

January 16, 2003 - May 12, 2005

DU PASQUIER & CO., INC.

CRD#: 24750

NEW YORK, NY

Past

May 21, 2002 - February 10, 2003

CORINTHIAN PARTNERS, L.L.C.

CRD#: 38912

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

California
(7/24/2019)

New Jersey
(7/18/2018)

New York
(8/22/2017)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/26/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Series 24

Date: 11/19/2007

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Matthew Schinazi

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

Philippe Tann

MORGAN STANLEY & CO. LLC

NEW YORK, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert J. Ricca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert J Ricca's CRS (Customer Relationship Summary).

Certified licenses

Experience

FTX CAPITAL MARKETS LLC

DAVIS SECURITIES LLC

DU PASQUIER & CO., INC.

CORINTHIAN PARTNERS, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/26/2008

Series 63

Date: 10/18/2002

Series 65

Date: 8/31/2000

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 57

Date: 3/22/2016

Series 87

Date: 12/15/2010

Series 7

Date: 5/20/2002

Series 14

Date: 1/2/2023

Series 4

Date: 5/6/2010

Series 53

Date: 6/26/2008

Series 24

Date: 11/19/2007

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

Similar Advisors