Andrew W. Taylor
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.
Andrew Wellman Taylor, who also goes by Andrew Welllman Taylor, Andy Wellman Taylor, Drew Wellman Taylor, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2005. Andrew had worked at 8 firms and has passed the Series 66, 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
May 27, 2015 - June 29, 2015
HOLD BROTHERS CAPITAL LLC
April 4, 2014 - December 26, 2014
J.P. MORGAN SECURITIES LLC
April 1, 2014 - December 26, 2014
J.P. MORGAN SECURITIES LLC
March 19, 2013 - April 11, 2013
HOLD BROTHERS CAPITAL LLC
June 14, 2012 - March 8, 2013
HOLD BROTHERS CAPITAL LLC
June 9, 2011 - May 25, 2012
COASTAL TRADE SECURITIES, LLC
May 8, 2009 - January 15, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2007 - November 24, 2008
UBS FINANCIAL SERVICES INC.
October 2, 2007 - November 24, 2008
UBS FINANCIAL SERVICES INC.
August 8, 2007 - September 27, 2007
ROTH CAPITAL PARTNERS, LLC
January 25, 2007 - August 20, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
October 20, 2005 - November 27, 2006
WELLS FARGO INVESTMENTS, LLC
October 6, 2005 - November 27, 2006
WELLS FARGO INVESTMENTS, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
