Howard C. Krauth
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.
Howard Charles Krauth, who also goes by Howard Charles Krauth III, Howie Krauth, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1991. Howard had worked at 8 firms and has passed the Series 63, Series 55 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
August 14, 2014 - July 15, 2015
HOLD BROTHERS CAPITAL LLC
January 27, 2014 - August 11, 2014
HOLD BROTHERS CAPITAL LLC
April 30, 2013 - July 8, 2013
HOLD BROTHERS CAPITAL LLC
May 26, 2006 - May 3, 2011
DOMESTIC SECURITIES, INC.
October 28, 2003 - August 22, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
January 25, 1994 - December 21, 2001
UBS CAPITAL MARKETS L.P.
July 30, 1993 - November 5, 1993
A.B. WATLEY DIRECT, INC.
August 6, 1992 - December 22, 1992
SCHONFELD SECURITIES, LLC
October 22, 1991 - December 23, 1991
J. GREGORY & COMPANY, INC.
October 16, 1991 - October 31, 1991
MANCHESTER RHONE SECURITIES CORP.
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: 3/3/1999
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
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