David J. Thompson
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.
David Jarvis Thompson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2015 - May 2, 2016
HOLD BROTHERS CAPITAL LLC
November 28, 2011 - September 11, 2014
WTS PROPRIETARY TRADING GROUP LLC
January 3, 2011 - December 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - December 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 8, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 17, 2008 - November 3, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
October 21, 2003 - February 25, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
February 15, 2002 - October 21, 2003
WORLDCO, L.L.C.
October 4, 1999 - October 23, 2001
ELECTRONIC TRADING GROUP, LLC
July 20, 1995 - September 14, 1999
KIRLIN SECURITIES INC.
July 31, 1993 - May 5, 1995
CITIGROUP GLOBAL MARKETS INC.
July 27, 1992 - 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 55
Date: 12/8/1999
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.
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