SP
Stefan Pollmann
WILLIAMS TRADING LLC
Westport, CT 06880
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CRD#: 2669413
SP
Professional summary
Stefan Pollmann is a registered financial professional currently at WILLIAMS TRADING LLC located in Westport, Connecticut.
Stefan is registered as a RR (Registered Representative) and started their career in finance in 1995. Stefan has worked at 3 firms and has passed the Series 63, Series 3, Series 79TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Stefan Pollmann's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 11, 2019 - Present
WILLIAMS TRADING LLC
Office #1: 450 Post Road East Suite 120, Westport, CT 06880BD
CRD#: 43678
Westport, CT
Past
September 1, 1998 - March 8, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 7, 1995 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(9/7/2023)
RR
Arizona(6/14/2019)
RR
California(6/17/2019)
RR
Colorado(6/11/2019)
RR
Connecticut(6/12/2019)
RR
Delaware(6/17/2019)
RR
Florida(6/11/2019)
RR
Georgia(6/17/2019)
RR
Illinois(6/17/2019)
RR
Indiana(6/17/2019)
RR
Kansas(6/17/2019)
RR
Maryland(6/11/2019)
RR
Massachusetts(6/17/2019)
RR
Michigan(6/17/2019)
RR
Minnesota(6/17/2019)
RR
New Jersey(6/17/2019)
RR
New York(6/17/2019)
RR
North Carolina(6/17/2019)
RR
Ohio(6/11/2019)
RR
Oklahoma(6/17/2019)
RR
Oregon(6/17/2019)
RR
Pennsylvania(6/17/2019)
RR
Rhode Island(6/17/2019)
RR
South Carolina(6/17/2019)
RR
Texas(6/17/2019)
RR
Virginia(6/17/2019)
RR
Washington(6/17/2019)
RR
Wisconsin(6/17/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 79TO
Date: 6/4/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 6/11/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
WT
WILLIAMS TRADING LLC
WILLIAMS TRADING LLC
CRD#: 43678 / SEC#: , 8-50372
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
450 Post Road East Suite 120, Westport, CT 06880
Mailing Address
450 Post Road East Suite 120, Westport, CT 06880
Phone number
(203) 353-7600
Established
Connecticut since 12/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (31 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, DAVID BREWSTER | MANAGING MEMBER/GENERAL SECURITIES PRINCIPAL | 1715713 |
| GOERTZ, JOSEPH THOMAS | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | 5607738 |
| MARCIANO, LANCE DANIEL | CHIEF OPERATING OFFICER | 2261020 |
| MOONEY, MATTHEW BRIAN | REGISTERED OPTIONS PRINCIPAL | 3100953 |
| MOROVATI, BABAK BOBBY | CFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO | 5650049 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
WILLIAMS TRADING LLC
CRD#: 43678Westport, CT 06880TRUST BUT VERIFY
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