Mark D. Sammartino
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.
Mark Daniel Sammartino, who also goes by Mark D Sammartino, Mark Sammartino, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 8 firms and has passed the 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
April 1, 2019 - December 9, 2019
HOLD BROTHERS CAPITAL LLC
September 27, 2011 - December 11, 2013
AVATAR SECURITIES, LLC
July 30, 2009 - September 22, 2009
MORGAN STANLEY
July 28, 2008 - October 24, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
March 5, 2008 - July 16, 2008
GARGOYLE STRATEGIC INVESTMENTS L.L.C.
January 30, 2006 - June 1, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
January 3, 2003 - February 20, 2004
BEAR WAGNER SPECIALISTS LLC
June 29, 2001 - November 26, 2001
ELECTRONIC TRADING GROUP, LLC
July 1, 1997 - November 4, 1997
OSCAR GRUSS & SON INCORPORATED
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: 4/1/2019
Securities Trader ExamSeries 55
Date: 3/6/2001
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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