David I. Gonzalez
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 Ivan Gonzalez, who also goes by Dave Gonzalez, David Gonzalez, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 17 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 7, Series 6, Series 28, Series 53, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - February 4, 2013
HOLD BROTHERS CAPITAL LLC
September 27, 2010 - September 27, 2010
JACKSON WEALTH MANAGEMENT, LLC
August 21, 2006 - August 20, 2010
STONEX FINANCIAL INC.
September 6, 2005 - April 28, 2006
FIVE X SECURITIES, LLC
April 13, 2005 - August 3, 2005
JW RICHARDS, INC
February 24, 2005 - August 3, 2005
NORTH AMERICAN CLEARING, INC.
May 14, 2004 - March 2, 2005
ROBERT W. BAIRD & CO. INCORPORATED
April 30, 2004 - March 2, 2005
ROBERT W. BAIRD & CO. INCORPORATED
February 3, 2004 - May 6, 2004
1717 CAPITAL MANAGEMENT COMPANY
October 15, 2003 - May 6, 2004
1717 CAPITAL MANAGEMENT COMPANY
June 25, 2003 - July 10, 2003
1717 CAPITAL MANAGEMENT COMPANY
January 25, 2002 - May 4, 2004
NATIONWIDE SECURITIES, LLC
September 15, 1999 - December 3, 2001
CHARLES SCHWAB & CO., INC.
January 31, 1997 - August 19, 1999
BROWNCO, LLC
October 2, 1996 - January 23, 1997
AMERIPRISE ADVISOR SERVICES, INC.
July 26, 1996 - September 25, 1996
NYLIFE SECURITIES LLC
September 15, 1995 - July 15, 1996
PRUDENTIAL EQUITY GROUP, LLC
May 25, 1995 - September 25, 1995
MUTUAL SERVICE CORPORATION
November 11, 1993 - June 2, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 11, 1993 - June 2, 1995
EQUITABLE ADVISORS, LLC
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: 5/31/2005
Limited Representative-Equity Trader ExamSeries 28
Date: 3/6/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
