David C. Martin
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 Chih Martin, who also goes by David Martin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 56 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
September 23, 2014 - January 22, 2018
HOLD BROTHERS CAPITAL LLC
January 31, 2012 - September 26, 2012
WTS PROPRIETARY TRADING GROUP LLC
April 27, 2011 - December 21, 2011
DIMENSION TRADING GROUP, LLC
March 16, 2004 - August 20, 2004
EQUITABLE ADVISORS, LLC
April 10, 2003 - August 20, 2004
EQUITABLE ADVISORS, LLC
May 29, 2001 - December 12, 2001
JESUP & LAMONT SECURITIES CORP
November 1, 1999 - May 30, 2001
THE THORNWATER COMPANY, L.P.
May 4, 1999 - August 1, 1998
THE THORNWATER COMPANY, L.P.
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: 11/11/2011
Proprietary Trader Qualification ExaminationCurrent 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.
