Wei Wang

HOLD BROTHERS CAPITAL LLC

NEW YORK, NY 10119-1510

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CRD#: 6440853

Professional summary

Wei Wang, who also goes by David Wang, is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.

Wei is registered as a RR (Registered Representative) and started their career in finance in 2016. Wei has worked at 7 firms and has passed the Series 66, Series 63, Series 57TO, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Wang

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) - BD

Click below to view Wei Wang's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 6, 2025 - Present

HOLD BROTHERS CAPITAL LLC

Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510

CRD#: 151864

NEW YORK, NY

Past

March 16, 2023 - March 26, 2024

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

January 15, 2019 - June 23, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

April 2, 2018 - April 30, 2018

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

Past

February 17, 2017 - April 10, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

September 1, 2016 - April 10, 2017

SCOTTRADE, INC.

CRD#: 8206

HONOLULU, HI

Past

March 14, 2016 - September 6, 2016

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

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

IAR

Series 66

Date: 2/16/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/29/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 4/4/2023

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 10/2/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/13/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HOLD BROTHERS CAPITAL LLC

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Wei Wang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wei Wang's CRS (Customer Relationship Summary).

Certified licenses

Experience

T3 TRADING GROUP, LLC

FIDELITY BROKERAGE SERVICES LLC

E*TRADE SECURITIES LLC

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/16/2017

Series 63

Date: 3/29/2016

Series 57TO

Date: 4/4/2023

Series 7TO

Date: 10/2/2022

SIE

Date: 4/30/2018

Series 7

Date: 4/13/2015

FINRA

Current Firm

HOLD BROTHERS CAPITAL LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOLD BROTHERS CAPITAL LLC

TRUST BUT VERIFY

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