Caroline F. Langner
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.
Caroline F Langner, who also goes by Carrie Langner, Caroline Frances Langner, Caroline F Wyzykowski, Caroline Frances Wyzykowski, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 1999. Caroline had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
August 28, 2020 - December 15, 2022
ROBINHOOD FINANCIAL, LLC
August 28, 2020 - July 7, 2023
ROBINHOOD SECURITIES, LLC
April 25, 2013 - August 7, 2020
PERSHING LLC
May 24, 2007 - September 14, 2007
NATIONAL INVESTOR SERVICES CORP.
May 24, 2007 - August 10, 2012
TD AMERITRADE CLEARING, INC.
April 22, 2006 - August 10, 2012
TD AMERITRADE, INC.
January 12, 2004 - July 23, 2004
AMERITRADE NORTHWEST, INC.
December 4, 2002 - August 18, 2003
ICAPITAL MARKETS LLC
December 4, 2002 - June 22, 2004
ICLEARING LLC
August 28, 2002 - January 2, 2003
AMERITRADE INSTITUTIONAL SERVICES, INC.
August 28, 2001 - April 22, 2006
TD AMERITRADE CLEARING, INC.
April 30, 1999 - December 31, 2001
J.P. SECURITIES, INC.
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
Current Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
