Michael Schuler
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.
Michael Schuler, who also goes by Michael C Schuler, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2020 - August 2, 2022
HOLD BROTHERS CAPITAL LLC
June 15, 2007 - December 31, 2018
TRIAD ADVISORS LLC
June 15, 2007 - December 31, 2018
TRIAD ADVISORS LLC
October 1, 2004 - June 19, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 2004 - June 19, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 10, 2001 - October 6, 2004
MORGAN STANLEY DW INC.
July 16, 2001 - October 6, 2004
MORGAN STANLEY DW INC.
August 9, 2000 - July 19, 2001
METROPOLITAN LIFE INSURANCE COMPANY
August 9, 2000 - July 19, 2001
MSI FINANCIAL SERVICES, 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
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.
