Eric Carlson
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.
Eric Carlson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1988. Eric had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2019 - May 14, 2026
ROBINHOOD SECURITIES, LLC
October 10, 2019 - May 14, 2026
ROBINHOOD FINANCIAL, LLC
December 15, 2000 - October 4, 2019
CHARLES SCHWAB & CO., INC.
December 21, 1999 - October 5, 2000
BERKELEY INTERNATIONAL SECURITIES CORPORATION
February 8, 1999 - December 6, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 7, 1994 - November 29, 1999
WELLS FARGO SECURITIES INC.
November 18, 1992 - May 2, 1994
CUNA BROKERAGE SERVICES, INC.
July 3, 1991 - March 10, 1992
IDS LIFE INSURANCE COMPANY
July 3, 1991 - March 10, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
October 4, 1988 - August 9, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 4, 1988 - August 9, 1990
PRUCO SECURITIES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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