Thomas J. Ohara
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.
Thomas Joseph Ohara was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 7 firms and has passed the Series 63, Series 56, Series 55, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - October 12, 2015
HOLD BROTHERS CAPITAL LLC
May 9, 2006 - December 20, 2007
OPUS TRADING FUND LLC
September 11, 2002 - November 23, 2005
ELECTRONIC TRADING GROUP, LLC
May 15, 2000 - November 18, 2002
VAN DER MOOLEN SPECIALISTS USA, LLC
March 6, 1979 - May 11, 2000
SCHRODER & CO. INC.
March 25, 1974 - March 26, 1979
MORGAN STANLEY & CO., INCORPORATED
February 2, 1966 - April 28, 1974
E. F. HUTTON & COMPANY INC
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: 10/17/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 9/13/2000
Limited Representative-Equity Trader ExamPC
Date: 2/1/1979
AMEX Put and Call ExamSeries 1
Date: 1/31/1966
Registered Representative 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
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