Matthew J. Gleason
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.
Matthew Joseph Gleason, who also goes by Matt Gleason, Matthew J Gleason, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1997. Matthew had worked at 11 firms and has passed the Series 65, Series 63, Series 56, Series 55, Series 31 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
December 14, 2011 - November 18, 2013
HOLD BROTHERS CAPITAL LLC
June 21, 2011 - September 21, 2011
WTS PROPRIETARY TRADING GROUP LLC
September 21, 2005 - January 27, 2006
TAFFERER TRADING, LLC
September 21, 2004 - December 6, 2004
TAFFERER TRADING, LLC
February 9, 2004 - August 17, 2004
KING FINANCIAL SERVICES, INC.
October 8, 2003 - December 2, 2003
MILLENNIUM BROKERAGE, L.L.C.
July 23, 2002 - January 7, 2003
A.B. WATLEY, INC.
February 16, 2001 - September 27, 2001
E STREET ACCESS
November 3, 1999 - March 31, 2000
HARRISDIRECT LLC
January 4, 1999 - April 22, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 8, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
April 1, 1997 - May 12, 1998
MORGAN STANLEY DW 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 56
Date: 12/12/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 3/21/2001
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.
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