Christopher H. Stone
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.
Christopher Hadley Stone, who also goes by Christopher Hadley Stone, Christopher H Stone, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2020. Christopher had worked at 5 firms and has passed the Series 66, Series 7TO, Series 57TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2025 - January 26, 2026
HOLD BROTHERS CAPITAL LLC
May 31, 2023 - April 8, 2024
T3 TRADING GROUP, LLC
September 6, 2022 - May 2, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 2022 - May 2, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2021 - April 21, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 13, 2021 - April 21, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 29, 2021 - August 13, 2021
&PARTNERS
June 30, 2020 - November 27, 2020
T3 TRADING GROUP, 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 7TO
Date: 3/29/2021
General Securities Representative ExaminationSeries 57TO
Date: 6/30/2020
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
