Carol A. Pohlman
Professional summary
Carol Ann Pohlman, who also goes by Carol Ann Underwood, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida.
Carol is registered as a RR (Registered Representative) and started their career in finance in 1999. Carol has worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 3, SIE, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Pohlman's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2021 - Present
TRADESTATION SECURITIES, INC.
Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324June 6, 2012 - April 9, 2021
APEX CLEARING CORPORATION
August 4, 2009 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
May 16, 2005 - December 20, 2007
PENSON FINANCIAL SERVICES, INC.
March 17, 2004 - January 13, 2005
NEXTREND SECURITIES, INC.
July 26, 1999 - October 12, 2001
NEXTREND SECURITIES, INC.
February 10, 1999 - June 15, 1999
HERITAGE SECURITIES 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
Exams
Series 99TO
Date: 4/18/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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Company Information
TRADESTATION SECURITIES, INC.
CRD#: 39473Plantation, FL 33324TRUST BUT VERIFY
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