Ted L. Anton
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.
Ted Louis Anton was a registered financial professional .
Ted is a previously registered financial professional and started their career in finance in 1994. Ted had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 56, 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
August 7, 2017 - April 3, 2020
HOLD BROTHERS CAPITAL LLC
September 3, 2014 - March 16, 2016
AVATAR SECURITIES, LLC
May 1, 2014 - August 6, 2014
T3 TRADING GROUP, LLC
May 16, 2013 - April 30, 2014
CHIMERA SECURITIES, LLC
January 2, 2003 - April 7, 2003
ELECTRONIC TRADING GROUP, LLC
October 12, 2001 - April 25, 2002
RUMSON CAPITAL, LLC
April 17, 2000 - November 6, 2001
ELECTRONIC TRADING GROUP, LLC
August 28, 1998 - May 8, 2000
ON-SITE TRADING, INC.
May 23, 1996 - September 17, 1998
WIN CAPITAL CORP.
January 5, 1996 - February 26, 1997
E*TRADE CAPITAL INC.
August 25, 1995 - February 8, 1996
E*TRADE SECURITIES LLC
March 25, 1994 - December 15, 1994
E*TRADE SECURITIES 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 57TO
Date: 12/22/2022
Securities Trader ExamSeries 56
Date: 5/6/2013
Proprietary Trader Qualification ExaminationSeries 55
Date: 11/11/1999
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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