Steven J. Hold
Professional summary
Steven Joseph Hold was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Steven had worked at 5 firms, which includes HOLD BROTHERS CAPITAL LLC, SODALITE FINANCIAL SERVICES LLC, TAFFERER TRADING LLC, GLOBAL ACCESS FINANCIAL SERVICES, CASTLE SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2010 - October 16, 2012
HOLD BROTHERS CAPITAL LLC
July 10, 2006 - November 5, 2012
SODALITE FINANCIAL SERVICES, LLC
January 26, 1995 - October 12, 2012
TAFFERER TRADING, LLC
September 28, 1993 - March 10, 1995
GLOBAL ACCESS FINANCIAL SERVICES
June 2, 1993 - July 20, 1994
CASTLE SECURITIES 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 55
Date: 3/29/2000
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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