Joel A. Mercadante
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.
Joel Adam Mercadante, who also goes by Joel Mercadante, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 2003. Joel had worked at 10 firms and has passed the Series 66, Series 57TO, SIE 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 17, 2017 - October 11, 2021
HOLD BROTHERS CAPITAL LLC
July 2, 2014 - September 1, 2015
T3 TRADING GROUP, LLC
March 5, 2013 - June 20, 2014
G-2 TRADING,LLC
January 3, 2011 - January 4, 2013
SARATOGA CAPITAL MARKETS
October 20, 2009 - February 18, 2010
PHOENIX DERIVATIVES GROUP, LLC
December 8, 2008 - October 19, 2009
PREBON FINANCIAL PRODUCTS INC.
November 26, 2007 - December 22, 2008
GFI SECURITIES LLC
October 25, 2005 - April 28, 2006
GFI SECURITIES LLC
September 22, 2004 - October 24, 2005
CITIGROUP GLOBAL MARKETS INC.
March 17, 2004 - September 23, 2004
J.P. MORGAN SECURITIES LLC
September 24, 2003 - November 12, 2003
SANFORD C. BERNSTEIN & CO., 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 57TO
Date: 1/2/2023
Securities 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.
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