Robert C. Pohlhaus

CGA SECURITIES

Baltimore, MD 21210

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CRD#: 1982680

Professional summary

Robert Carl Pohlhaus is a registered financial professional currently at CGA SECURITIES, LLC located in Baltimore, Maryland.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 7 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

April 9, 2013 - Present

CGA SECURITIES, LLC

Office #1: 2 Village Square Suite 255, Baltimore, MD 21210Office #2: 2 Village Square Suite 255, Baltimore, MD 21210

CRD#: 32301

Baltimore, MD

Past

July 1, 2003 - June 19, 2012

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

October 1, 1999 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 17, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

June 14, 1999 - July 16, 1999

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

December 12, 1989 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Maryland
(10/27/2016)

New York
(6/17/2013)

Ohio
(6/14/2013)

Exams

State Security Law Exam

Series 63

Date: 1/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/24/2024

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/16/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/9/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CGA SECURITIES, LLC

BLUE HILL SECURITIES, INC. | WALSH PARTNERS, INC. | WALSH PARTNERS CAPITAL CORPORATION | PACE FINANCIAL SERVICES, LLC | CGA SECURITIES, LLC

CRD#: 32301 / SEC#: , 8-45684

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

2 Village Square Suite 255, Baltimore, MD 21210

Mailing Address

2 Village Square Suite 255, Baltimore, MD 21210

Phone number

(410) 308-6200

Established

Maryland since 12/24/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CGA CAPITAL HOLDINGS, LLC	OWNER/ MANAGING MEMBER
CAMPBELL, ROBERT	FINOP	1349154
GORE, WILLIAM KYLE	MANAGING DIRECTOR/CCO	2194193
POHLHAUS, ROBERT CARL	CO-CCO	1982680

Red Flags

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Robert C. Pohlhaus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Carl Pohlhaus's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/6/1998

Series 52TO

Date: 9/24/2024

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/16/2000

Series 7

Date: 12/9/1989

Series 24

Date: 12/16/2023

FINRA

Current Firm

CGA SECURITIES, LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CGA SECURITIES, LLC

TRUST BUT VERIFY

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