Robert W. Mandry
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.
Robert William Mandry was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 12 firms and has passed the Series 63, SIE, Series 56, 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
October 6, 2014 - April 18, 2016
HOLD BROTHERS CAPITAL LLC
January 16, 2012 - October 1, 2012
HOLD BROTHERS CAPITAL LLC
May 10, 2006 - May 8, 2007
OPUS TRADING FUND LLC
February 2, 2004 - June 3, 2004
QUICK & REILLY, INC.
January 24, 2002 - November 25, 2003
SCHONFELD SECURITIES, LLC
April 21, 1997 - July 17, 1997
MAIDSTONE FINANCIAL, INC.
June 25, 1996 - May 9, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
March 21, 1995 - July 5, 1996
JOSEPHTHAL & CO., INC.
March 15, 1995 - March 21, 1995
LT LAWRENCE & CO., INC.
September 7, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
July 16, 1993 - September 15, 1994
H.J. MEYERS & CO., INC.
November 16, 1992 - May 27, 1993
UBS FINANCIAL SERVICES INC.
October 11, 1992 - November 9, 1992
CIBC WORLD MARKETS 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 56
Date: 1/14/2012
Proprietary Trader Qualification ExaminationSeries 55
Date: 5/2/2001
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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