Caroline E. Wisniewski
Professional summary
Caroline Elizabeth Wisniewski, who also goes by Caroline Elizabeth Pinholster, Carrie Pinholster, Carrie Wisniewski, is a registered financial professional currently at P & M CORPORATE FINANCE, LLC located in Denver, Colorado and BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 1986. Caroline has worked at 22 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 4, Series 53, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Caroline Elizabeth Wisniewski's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2015 - Present
P & M CORPORATE FINANCE, LLC
Office #1: 8181 E Tufts Ave Suite 600, Denver, CO 80112January 5, 2024 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428May 13, 2024 - December 17, 2024
MCDONALD PARTNERS LLC
February 4, 2021 - August 31, 2023
ATB CAPITAL MARKETS USA INC.
June 24, 2014 - July 10, 2014
FIRST BALLANTYNE, LLC
April 24, 2012 - October 1, 2012
OFS SECURITIES, INC.
October 28, 2009 - October 1, 2018
FIRST BANK PUERTO RICO SECURITIES, CORP.
October 20, 2008 - August 2, 2017
PARITER SECURITIES, LLC
July 18, 2007 - January 8, 2024
BRIDGE CAPITAL ASSOCIATES, INC.
May 18, 2007 - June 1, 2015
VRA PARTNERS, LLC
March 30, 2007 - January 5, 2016
MAGNER SECURITIES, LLC
September 27, 2006 - March 17, 2011
STIRA CAPITAL MARKETS GROUP, LLC
November 17, 2005 - May 29, 2009
DILWORTH SECURITIES, INC.
April 1, 2005 - May 28, 2008
ANKURA CAPITAL ADVISORS, LLC
February 10, 2005 - January 29, 2007
OFS SECURITIES, INC.
April 28, 2004 - May 13, 2008
TCM CAPITAL, INC.
October 24, 2002 - April 22, 2003
LIVE OAK CAPITAL SECURITIES, INC.
July 10, 2000 - March 15, 2001
JACKSON SECURITIES LLC
July 10, 2000 - February 17, 2010
JGB INTERNATIONAL, INC.
December 11, 1997 - April 1, 1998
AIBC INVESTMENT SERVICES CORPORATION
October 31, 1997 - November 4, 1998
JACKSON SECURITIES LLC
August 22, 1997 - September 4, 1997
THE CAMELOT GROUP, INC.
May 9, 1995 - October 23, 2002
WOODSTOCK FINANCIAL GROUP, INC.
March 19, 1986 - November 13, 1987
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2018)
(7/13/2015)
(1/3/2018)
(7/13/2015)
(1/3/2018)
(1/30/2024)
Exams
Series 52TO
Date: 1/5/2024
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 4/19/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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