David J. Frankel
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.
David Jason Frankel was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 9 firms and has passed the Series 63 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
March 29, 2011 - December 11, 2012
HOLD BROTHERS CAPITAL LLC
June 27, 2008 - April 29, 2009
ECHOTRADE LLC
May 5, 2006 - June 26, 2006
MORGAN STANLEY DW INC.
March 28, 2005 - March 29, 2006
TD AMERITRADE, INC.
July 1, 2003 - March 29, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 18, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 28, 2000 - March 15, 2000
CIBC WORLD MARKETS CORP.
June 15, 1999 - December 2, 1999
PACIFIC CONTINENTAL SECURITIES CORPORATION
August 6, 1998 - May 21, 1999
CONTINENTAL BROKER-DEALER CORP.
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
Current 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.
