Michael S. Rothman

HOLD BROTHERS CAPITAL LLC

NEW YORK, NY 10119-1510

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CRD#: 2860555

Professional summary

Michael Seth Rothman is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 56, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Seth Rothman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 8, 2019 - Present

HOLD BROTHERS CAPITAL LLC

Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

CRD#: 151864

NEW YORK, NY

Past

November 25, 2015 - July 18, 2016

CHIMERA SECURITIES, LLC

CRD#: 147566

NEW YORK, NY

Past

October 12, 2000 - March 22, 2004

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

August 23, 2000 - October 6, 2000

IRONHORSE SECURITIES INC.

CRD#: 38986

NEW YORK, NY

Past

January 11, 2000 - August 10, 2000

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

May 22, 1997 - July 13, 1999

KNIGHT CAPITAL MARKETS LLC

CRD#: 38379

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 7/8/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 7/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 56

Date: 11/25/2015

Proprietary Trader Qualification Examination

General Industry/Product Exam

Series 55

Date: 2/9/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/20/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HOLD BROTHERS CAPITAL LLC

CRD#: 151864 / SEC#: , 8-68404

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

Mailing Address

One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

Phone number

(212) 792-0900

Established

New Jersey since 05/04/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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Michael S. Rothman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Seth Rothman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHIMERA SECURITIES, LLC

SCHONFELD SECURITIES, LLC

IRONHORSE SECURITIES INC.

SCHONFELD SECURITIES, LLC

KNIGHT CAPITAL MARKETS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/2000

Series 57TO

Date: 7/8/2019

SIE

Date: 7/18/2016

Series 56

Date: 11/25/2015

Series 55

Date: 2/9/2000

Series 7

Date: 5/20/1997

FINRA

Current Firm

HOLD BROTHERS CAPITAL LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOLD BROTHERS CAPITAL LLC

TRUST BUT VERIFY

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