Natalie Adiel
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.
Natalie Adiel, who also goes by Natalie Eva Adiel, was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 2009. Natalie had worked at 7 firms and has passed the 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
June 13, 2020 - June 1, 2021
HOLD BROTHERS CAPITAL LLC
June 1, 2017 - June 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2015 - August 26, 2015
EQUITABLE ADVISORS, LLC
August 6, 2013 - February 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
November 18, 2011 - March 30, 2012
BROAD STREET SECURITIES GROUP, LLC
September 3, 2009 - January 24, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
January 14, 2009 - September 4, 2009
G-2 TRADING,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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