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Brett Rosenberg

Hold Brothers Capital LLC

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About Brett Rosenberg

Brett Rosenberg is a securities professional with over 30 years of experience in the financial services industry. Brett is currently registered with Hold Brothers Capital LLC, a firm that provides investment advisory and brokerage services. Brett has held previous positions with several other firms, including Chimera Securities, LLC and G-2 Trading, LLC. Brett holds the Series 7, Series 55, Series 57TO, and Series 63 licenses, as well as the SIE. Brett is dedicated to providing clients with personalized financial advice and investment strategies that meet their specific needs.

Firm Information

Brett Rosenberg is currently registered with Hold Brothers Capital LLC. Hold Brothers Capital LLC is a Limited Liability Company that was formed on May 4, 2009. The firm is registered in California, Florida, Nevada, New Jersey, New York, and Texas, and has 1 approved SEC registration and 6 approved state registrations. The firm has reported 3 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

34

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brett Rosenberg’s Registration & Firm History

NY

08/23/2024 - Present

Hold Brothers Capital LLC (NEW YORK NY)

NY

06/01/2023 - 05/07/2024

HOLD BROTHERS CAPITAL LLC (NEW YORK NY)

NY

01/07/2019 - 12/21/2021

HOLD BROTHERS CAPITAL LLC (NEW YORK NY)

NY

09/08/2015 - 04/16/2018

CHIMERA SECURITIES, LLC (NEW YORK NY)

NY

05/11/2006 - 07/11/2014

G-2 TRADING,LLC (NEW YORK NY)

NY

09/19/1997 - 06/04/2002

FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)

CA

06/05/1997 - 10/01/1997

PREFERRED TECHNOLOGY, INC. (SAN FRANCISCO CA)

NY

08/24/1995 - 04/08/1997

MURPHEY, MARSEILLES, SMITH & NAMMACK, INC. (NEW YORK NY)

CT

07/26/1984 - 07/17/1995

MAYER & SCHWEITZER, INC. (STAMFORD CT)

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Licenses & Designations

BC

Issued 01/29/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 04/16/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/07/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/21/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brett Rosenberg.
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