Richard W. Stone
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.
Richard William Stone, who also goes by Rick Stone, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55 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
January 18, 2011 - January 2, 2020
HOLD BROTHERS CAPITAL LLC
June 22, 2009 - December 31, 2010
TAFFERER TRADING, LLC
May 8, 2003 - July 6, 2007
CHARLES SCHWAB & CO., INC.
April 15, 2003 - July 6, 2007
CHARLES SCHWAB & CO., INC.
May 16, 2001 - March 31, 2003
SCHONFELD SECURITIES, LLC
August 21, 1998 - May 15, 2001
SIERRA EQUITY GROUP LLC
May 6, 1996 - September 14, 1998
BARRON CHASE SECURITIES, INC.
February 22, 1991 - May 9, 1996
CHATFIELD DEAN & CO., INC.
August 10, 1990 - March 28, 1991
ALLIANCE SECURITIES CORPORATION
November 25, 1987 - October 18, 1990
BLINDER, ROBINSON & CO., 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
Series 55
Date: 4/23/2001
Limited Representative-Equity Trader ExamCurrent 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
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.
