Toichiro T. Okura
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.
Toichiro Terry Okura, who also goes by Toichiro Okura, was a registered financial professional .
Toichiro is a previously registered financial professional and started their career in finance in 2000. Toichiro had worked at 8 firms and has passed the Series 65, Series 63, 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
January 4, 2025 - June 26, 2025
HOLD BROTHERS CAPITAL LLC
June 15, 2015 - December 19, 2023
HOLD BROTHERS CAPITAL LLC
November 7, 2014 - February 9, 2015
T3 TRADING GROUP, LLC
November 23, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
February 8, 2010 - May 19, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
November 19, 2008 - January 27, 2009
DIMENSION BROKERAGE, LLC
October 21, 2003 - October 23, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
January 23, 2003 - October 21, 2003
WORLDCO, L.L.C.
November 30, 2001 - January 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2001 - January 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2000 - November 21, 2001
CITIGROUP GLOBAL MARKETS 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/29/2003
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.
