David W. Wilson
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 Wallin Wilson, who also goes by David Wallin Wilson, David Wilson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 8 firms and has passed the Series 65, Series 63, SIE 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 26, 2017 - March 7, 2018
HOLD BROTHERS CAPITAL LLC
March 12, 2015 - May 19, 2016
T3 TRADING GROUP, LLC
November 7, 2014 - January 2, 2015
T3 TRADING GROUP, LLC
January 6, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
March 2, 2007 - August 9, 2012
LEERINK PARTNERS LLC
April 18, 1999 - January 13, 2006
LEERINK PARTNERS LLC
October 17, 1996 - February 11, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 1995 - September 16, 1996
LEERINK PARTNERS LLC
May 22, 1995 - November 16, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 1, 1993 - June 14, 1995
DETWILER FENTON & CO.
October 18, 1993 - October 28, 1993
CHATFIELD DEAN & CO., 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
Current 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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