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EB

Elizabeth M. Brown

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CRD#: 5711428
EB

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.

Elizabeth Marie Brown, who also goes by Elizabeth Brown, was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 2014. Elizabeth had worked at 3 firms and has passed the Series 66, SIE, Series 57 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Brown

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 18, 2016 - April 11, 2017

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

January 29, 2016 - April 29, 2016

AVATAR SECURITIES, LLC

BD
CRD#: 147763
NEW YORK, NY
Past

March 24, 2014 - March 26, 2015

MORGAN STANLEY

RIA
CRD#: 149777
KNOXVILLE, TN
Past

March 6, 2014 - March 26, 2015

MORGAN STANLEY

BD
CRD#: 149777
KNOXVILLE, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/21/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/11/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 2/12/2016
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/6/2014
General Securities Representative Examination

Current Firm

HB
HOLD BROTHERS CAPITAL LLC
HOLD BROTHERS CAPITAL LLC

CRD#: 151864 / SEC#: , 8-68404

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510
Mailing Address
One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510
Phone number
(212) 792-0900
Established
New Jersey since 05/04/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLDSOFTWARE.COM INC.CLASS B MEMBER
HOLD, GREGORY FRANCISCEO AND MANAGING MEMBER2169408
HOLD TECHNOLOGIES, LLCCLASS H MEMBER
BARTON, ZEINA SOLANGEFINOP5955936
LESSICK, ILANEVP - FINANCE, OPERATIONS & COMPLIANCE4192324
RICCA, ROBERT JCHIEF COMPLIANCE OFFICER/AMLCO/TRADING & RISK MANAGER/RETAIL MANAGER1658885
ROWE, GREGORY MICHAELCOMPLIANCE OFFICER2559751
ZAFIRIS, TOMSVP - OPERATIONS1337844

Disclosures

Regulatory Event3

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.

Company Information

HOLD BROTHERS CAPITAL LLC

CRD#: 151864

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