John P. Buckley

HOLD BROTHERS CAPITAL LLC

NEW YORK, NY 10119-1510

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CRD#: 2281055

Professional summary

John Patrick Buckley is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Patrick Buckley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 2, 2019 - Present

HOLD BROTHERS CAPITAL LLC

Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

CRD#: 151864

NEW YORK, NY

Past

May 29, 2012 - May 3, 2017

BTIG, LLC

CRD#: 122225

NEW YORK, NY

Past

November 20, 2002 - May 30, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

June 20, 2002 - July 19, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

February 13, 2002 - November 11, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

December 9, 1992 - February 13, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/19/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/16/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 7/9/2024

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 5/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/22/1998

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/3/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HOLD BROTHERS CAPITAL LLC

CRD#: 151864 / SEC#: , 8-68404

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

Mailing Address

One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

Phone number

(212) 792-0900

Established

New Jersey since 05/04/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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John P. Buckley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Patrick Buckley's CRS (Customer Relationship Summary).

Certified licenses

Experience

BTIG, LLC

KNIGHT CAPITAL AMERICAS, L.P.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/2025

Series 63

Date: 2/16/1993

Series 99TO

Date: 7/9/2024

SIE

Date: 5/3/2017

Series 55

Date: 6/22/1998

Series 7

Date: 12/3/1992

Series 24

Date: 5/6/1999

FINRA

Current Firm

HOLD BROTHERS CAPITAL LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOLD BROTHERS CAPITAL LLC

TRUST BUT VERIFY

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