Lynda D. Adiel
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.
Lynda Dianne Adiel, who also goes by Leah Adiel, Lynda Diane Adiel, Lynda Adiel, was a registered financial professional .
Lynda is a previously registered financial professional and started their career in finance in 1992. Lynda had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 31, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2020 - December 6, 2021
HOLD BROTHERS CAPITAL LLC
March 10, 2017 - December 14, 2018
T3 TRADING GROUP, LLC
March 20, 2014 - April 6, 2015
T3 TRADING GROUP, LLC
November 9, 2011 - March 30, 2012
BROAD STREET SECURITIES GROUP, LLC
November 30, 2009 - March 11, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
February 15, 2008 - January 29, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
April 19, 2006 - April 20, 2006
G-2 TRADING,LLC
September 25, 2003 - May 12, 2004
TAFFERER TRADING, LLC
March 18, 2002 - August 20, 2002
WORLDCO, L.L.C.
April 2, 1999 - January 4, 2000
MORGAN STANLEY DW INC.
February 22, 1997 - June 26, 1997
JWGENESIS SECURITIES, INC.
February 2, 1994 - March 13, 1995
PRUDENTIAL EQUITY GROUP, LLC
September 17, 1992 - March 19, 1993
BARBER & BRONSON INCORPORATED
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 7TO
Date: 2/7/2024
General Securities Representative ExaminationSeries 57TO
Date: 2/7/2024
Securities Trader ExamSeries 55
Date: 12/26/2001
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
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