John P. Garland
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.
John Patrick Garland was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3 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
October 22, 2018 - June 3, 2021
HOLD BROTHERS CAPITAL LLC
September 16, 2016 - June 14, 2018
CAPITAL ANALYSTS
August 17, 2016 - June 14, 2018
LINCOLN INVESTMENT
August 17, 2016 - June 14, 2018
LINCOLN INVESTMENT
October 16, 2015 - June 17, 2016
WADDELL & REED
September 24, 2015 - June 17, 2016
WADDELL & REED
March 6, 2012 - April 27, 2015
HOLD BROTHERS CAPITAL LLC
May 11, 2010 - October 11, 2012
TAFFERER TRADING, LLC
June 2, 2008 - August 11, 2009
STRIKER SECURITIES, INC.
August 22, 2006 - March 19, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
April 21, 2006 - July 27, 2006
G-2 TRADING,LLC
April 5, 2002 - September 14, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 25, 2002 - September 14, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 21, 2000 - March 28, 2002
SCHONFELD SECURITIES, LLC
October 13, 2000 - December 18, 2000
PROTRADER SECURITIES L.P.
June 19, 1997 - October 9, 2000
SCHONFELD SECURITIES, LLC
July 31, 1995 - June 20, 1997
TRADETECH SECURITIES L.P.
July 31, 1993 - July 21, 1995
CITIGROUP GLOBAL MARKETS INC.
January 23, 1990 - July 31, 1993
LEHMAN 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/4/1999
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.
