Guy A. Plouffe
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.
Guy Anthony Plouffe, who also goes by Guy Plouffe, Guy Anthony Plouffe, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 2001. Guy had worked at 7 firms and has passed the Series 63, Series 7TO, 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
April 8, 2019 - January 4, 2021
HOLD BROTHERS CAPITAL LLC
June 6, 2017 - April 22, 2019
T3 TRADING GROUP, LLC
April 14, 2016 - June 5, 2017
HOLD BROTHERS CAPITAL LLC
May 28, 2015 - July 30, 2015
T3 TRADING GROUP, LLC
January 6, 2014 - September 30, 2014
WTS PROPRIETARY TRADING GROUP LLC
October 17, 2011 - November 12, 2012
SPEEDTRADER, INC
March 22, 2010 - October 28, 2011
PROTRADE SECURITIES, LLC
September 30, 2002 - April 14, 2008
SEABOARD SECURITIES, INC.
July 10, 2001 - October 19, 2001
RUMSON CAPITAL, LLC
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 7TO
Date: 12/21/2022
General Securities Representative ExaminationSeries 57TO
Date: 12/21/2022
Securities Trader ExamSeries 55
Date: 11/1/2011
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
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