Sarah R. Walters
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.
Sarah Rachel Walters was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2000. Sarah had worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2015 - December 20, 2021
HOLD BROTHERS CAPITAL LLC
July 1, 2013 - July 8, 2013
HOLD BROTHERS CAPITAL LLC
September 10, 2012 - March 4, 2013
SODALITE FINANCIAL SERVICES, LLC
December 9, 2010 - April 10, 2013
HOLD BROTHERS CAPITAL LLC
May 12, 2008 - November 28, 2012
TAFFERER TRADING, LLC
November 1, 2006 - January 14, 2008
SODALITE FINANCIAL SERVICES, LLC
July 18, 2005 - January 9, 2008
TAFFERER TRADING, LLC
December 21, 2001 - July 15, 2005
HEDGE FUND CAPITAL PARTNERS, LLC
March 6, 2000 - July 19, 2005
ELECTRONIC TRADING GROUP, 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: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/20/2001
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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