David F. Nardi
Professional summary
David Francis Nardi is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 10 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Francis Nardi's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2023 - Present
HOLD BROTHERS CAPITAL LLC
Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510March 2, 2021 - November 19, 2021
T3 TRADING GROUP, LLC
December 11, 2018 - February 28, 2019
TD AMERITRADE, INC.
November 25, 2015 - October 25, 2018
T3 TRADING GROUP, LLC
May 30, 2008 - January 2, 2014
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
February 12, 2008 - April 24, 2008
WJB CAPITAL GROUP, INC.
July 13, 2005 - November 16, 2007
WELLS FARGO SECURITIES, LLC
January 23, 1997 - December 17, 2004
DEUTSCHE BANK SECURITIES INC.
May 15, 1995 - November 5, 1996
NATWEST SECURITIES CORPORATION
February 9, 1995 - May 9, 1995
GOLDMAN SACHS & CO. LLC
May 11, 1994 - January 17, 1995
KIDDER, PEABODY & CO. INCORPORATED
February 23, 1988 - May 16, 1994
GOLDMAN SACHS & CO. LLC
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 99TO
Date: 7/11/2024
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/4/2000
Limited Representative-Equity Trader ExamFINRA
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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