Michael F. Fisher
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 Finlayson Fisher, who also goes by Michael F Fisher, Michael Finlayson Fisher, Michael Finlayson Pulver, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 57 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
July 14, 2021 - December 20, 2021
HOLD BROTHERS CAPITAL LLC
November 13, 2017 - July 15, 2019
HOLD BROTHERS CAPITAL LLC
June 27, 2012 - January 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2012 - January 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 2011 - May 15, 2012
WTS PROPRIETARY TRADING GROUP LLC
September 2, 2010 - February 24, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
June 28, 2010 - August 30, 2010
BROOKVILLE CAPITAL PARTNERS
February 18, 2010 - June 22, 2010
BROOKVILLE CAPITAL PARTNERS
December 2, 2008 - September 11, 2009
FIS BROKERAGE & SECURITIES SERVICES 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
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.
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