Michael S. Gilbert
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.
Michael Scott Gilbert was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, 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
December 14, 2018 - August 19, 2022
HOLD BROTHERS CAPITAL LLC
September 12, 2016 - December 6, 2017
T3 TRADING GROUP, LLC
April 23, 2012 - October 4, 2016
HOLD BROTHERS CAPITAL LLC
March 31, 2004 - October 11, 2012
TAFFERER TRADING, LLC
August 1, 2002 - September 26, 2002
TAFFERER TRADING, LLC
February 5, 2002 - August 1, 2002
SKEFFINGTON SECURITIES, L.L.C.
April 26, 2000 - May 15, 2001
TAFFERER TRADING, LLC
July 30, 1998 - October 29, 1998
TAFFERER TRADING, LLC
September 7, 1995 - August 21, 1998
GLOBAL ACCESS FINANCIAL SERVICES
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: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/27/2000
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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