Stephen Chang
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.
Stephen Chang, who also goes by Stephen Ping Chang, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1998. Stephen had worked at 9 firms and has passed the Series 63, Series 56, 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
August 14, 2014 - December 24, 2015
HOLD BROTHERS CAPITAL LLC
May 2, 2014 - August 11, 2014
HOLD BROTHERS CAPITAL LLC
September 12, 2011 - February 29, 2012
LEGEND TRADING, LLC
May 17, 2011 - July 7, 2011
LEGEND TRADING, LLC
November 19, 2009 - April 30, 2010
QUAD CAPITAL, LLC
September 21, 2009 - October 30, 2009
FIRST NEW YORK SECURITIES L.L.C.
June 3, 2009 - September 23, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
December 2, 2008 - May 27, 2009
FIRST NEW YORK SECURITIES L.L.C.
May 2, 2008 - December 2, 2008
TAFFERER TRADING, LLC
April 17, 2006 - May 9, 2008
G-2 TRADING,LLC
May 28, 2003 - August 27, 2003
WORLDCO, L.L.C.
January 18, 2002 - June 10, 2003
LION'S GROUP TRADING LLC
March 5, 2001 - May 30, 2001
WORLDCO, L.L.C.
January 1, 1998 - August 25, 1998
WORLDCO, L.L.C.
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 56
Date: 5/1/2014
Proprietary Trader Qualification ExaminationSeries 55
Date: 10/13/2008
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
