Michael E. Spyrka
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.
Michael Edward Spyrka was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 17 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2018 - May 9, 2019
HOLD BROTHERS CAPITAL LLC
May 27, 2016 - January 6, 2017
KOYOTE TRADING LLC
July 14, 2009 - July 30, 2014
QUAD CAPITAL, LLC
December 3, 2008 - June 5, 2009
G-2 TRADING,LLC
March 25, 2008 - December 1, 2008
BTIG, LLC
July 20, 2007 - August 30, 2007
COMMERZ MARKETS LLC
July 22, 2005 - October 2, 2006
WELLS FARGO SECURITIES, LLC
February 4, 2005 - May 6, 2005
FIRST NEW YORK SECURITIES L.L.C.
January 18, 2005 - January 28, 2005
FIRST NEW YORK SECURITIES L.L.C.
October 27, 2003 - December 17, 2004
LEHMAN BROTHERS INC.
July 8, 1996 - May 18, 2000
PERSHING LLC
January 1, 1996 - June 20, 1996
HSBC SECURITIES (USA) INC.
May 10, 1995 - January 1, 1996
JAMES CAPEL INCORPORATED
September 15, 1993 - May 5, 1995
NATWEST SECURITIES CORPORATION
June 18, 1992 - July 16, 1993
SMITH NEW COURT, INC.
February 2, 1991 - June 12, 1992
REUTERS C CORPORATION
October 3, 1989 - August 9, 1990
DUNLEVY & CO., INCORPORATED
February 23, 1988 - August 31, 1989
SALOMON BROTHERS 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: 9/19/2005
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.
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