Jeffrey C. Rubin
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.
Jeffrey Craig Rubin was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 9 firms and has passed the Series 63, SIE, 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
September 12, 2016 - September 5, 2017
HOLD BROTHERS CAPITAL LLC
October 4, 2012 - October 23, 2014
T3 TRADING GROUP, LLC
February 1, 2010 - June 2, 2011
ECHOTRADE LLC
September 18, 2006 - October 22, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
April 17, 2006 - August 31, 2006
G-2 TRADING,LLC
May 11, 1999 - May 24, 2001
RUMSON CAPITAL, LLC
September 30, 1998 - April 28, 1999
NORTH AMERICAN INSTITUTIONAL BROKERS
May 5, 1997 - September 9, 1998
JOSEPH CHARLES & ASSOC., INC.
April 21, 1995 - March 5, 1997
JOSEPH CHARLES & ASSOC., INC.
July 22, 1994 - May 8, 1995
RAYMOND JAMES & ASSOCIATES, INC.
March 18, 1992 - July 27, 1994
JOSEPH CHARLES & ASSOC., 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 55
Date: 4/27/2000
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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