AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
XC

Xuan Chen

HOLD BROTHERS CAPITAL
NEW YORK, NY 10119-1510
Some features on this profile are disabled
CRD#: 7799143
XC

Professional summary

Xuan Chen, who also goes by Stephanie Chen, is a registered financial professional currently at HOLD BROTHERS CAPITAL LLC located in New York, New York.

Xuan is registered as a RR (Registered Representative) and started their career in finance in 2023. Xuan has worked at 1 firm and has passed the Series 57TO, Series 99TO, Series 7TO, SIE, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephanie Chen

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 Xuan Chen'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

December 18, 2023 - Present

HOLD BROTHERS CAPITAL LLC

Office #1: One Pennsylvania Plaza Suite 1510, New York, NY 10119-1510
BD
CRD#: 151864
NEW YORK, NY

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

General Industry/Product Exam
RR
Series 57TO
Date: 8/27/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 6/25/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/7/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/17/2026
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/2026
General Securities Principal Examination
SRO Registrations
RR
FINRA

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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 151864New York, NY 10119-1510

TRUST BUT VERIFY

Monitor Xuan Chen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

KB
Kevin BakerAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
NORTON, VA
FL
Franklin LittleAdvisorCheck Check Mark
NYLIFE SECURITIES LLC
RR
MOBILE, AL
Ryan Michael Canfield
Ryan CanfieldAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Enola, PA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.