linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Tom Zafiris

Hold Brothers Capital LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Tom? Claim Your Profile

About Tom Zafiris

Tom Zafiris is a financial professional with over 25 years of experience in the financial services industry. Tom is a Series 7, Series 24, Series 27, Series 63, and Series 99TO licensed professional, with a strong background in financial markets. Tom currently works at Hold Brothers Capital LLC and is registered in New York and New Jersey. Previously, Tom held positions at Credit Suisse Securities (USA) LLC, Cantor Fitzgerald Securities, Wagner Stott Clearing Corp., Prudential Securities Incorporated, and Berkeley Securities Corporation.

Firm Information

Tom Zafiris 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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Tom Zafiris’s Registration & Firm History

NY

10/07/2019 - Present

Hold Brothers Capital LLC (NEW YORK NY)

NY

06/08/1999 - 10/10/2018

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

10/23/1996 - 06/11/1999

CANTOR FITZGERALD SECURITIES (NEW YORK NY)

NY

04/24/1995 - 10/15/1996

WAGNER STOTT CLEARING CORP. (NEW YORK NY)

NY

01/14/1993 - 03/16/1993

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

01/13/1993 - 02/19/1993

BERKELEY SECURITIES CORPORATION (NEW YORK NY)

Not sure if Tom Zafiris is right for you?

Licenses & Designations

BC

Issued 01/28/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/11/2022

Series 24 - General Securities Principal Examination

BC

Issued 06/01/2020

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tom Zafiris.
Not sure if Tom Zafiris is right for you?