Thomas A. Piccoli
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.
Thomas Anthony Piccoli was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 10 firms and has passed the Series 63, Series 3, Series 55 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
May 16, 2011 - April 19, 2012
HOLD BROTHERS CAPITAL LLC
March 1, 2005 - June 29, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
August 7, 2003 - March 17, 2005
CROWN FINANCIAL GROUP, INC.
April 4, 2000 - August 6, 2003
KNIGHT CAPITAL AMERICAS, L.P.
July 16, 1999 - January 25, 2000
NEUBERGER BERMAN MANAGEMENT LLC
July 15, 1999 - January 21, 2000
NEUBERGER BERMAN BD LLC
August 6, 1998 - December 31, 1998
AROS SECURITIES INC.
March 23, 1995 - March 10, 1998
ING BARING (U.S.) SECURITIES, INC.
January 5, 1994 - February 7, 1994
AMERICORP SECURITIES, INC.
November 26, 1993 - December 17, 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
Series 55
Date: 11/19/1998
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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