Dennis R. Casserly
Professional summary
Dennis Richard Casserly is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 1995. Dennis has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dennis Richard Casserly's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 17, 2023 - Present
HOLD BROTHERS CAPITAL LLC
Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510August 27, 2014 - November 6, 2023
AVATAR SECURITIES, LLC
March 6, 2013 - August 8, 2014
QUASAR TRADING, LLC
September 12, 2012 - June 27, 2013
COASTAL TRADE SECURITIES, LLC
March 6, 2012 - September 6, 2012
HOLD BROTHERS CAPITAL LLC
May 28, 2010 - September 6, 2012
TAFFERER TRADING, LLC
March 7, 2003 - May 28, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 17, 1998 - October 23, 2001
TAFFERER TRADING, LLC
November 25, 1996 - July 10, 1997
MORGAN STANLEY DW INC.
July 22, 1995 - November 29, 1996
UBS FINANCIAL SERVICES INC.
April 28, 1995 - May 10, 1995
J.P. MORGAN 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 99TO
Date: 7/12/2024
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/13/2000
Limited Representative-Equity Trader ExamFINRA
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
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