Rolando A. Husband
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.
Rolando A Husband was a registered financial professional .
Rolando is a previously registered financial professional and started their career in finance in 2002. Rolando had worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2006 - May 4, 2020
TRADESTATION SECURITIES, INC.
December 21, 2005 - September 29, 2006
METROPOLITAN LIFE INSURANCE COMPANY
December 21, 2005 - September 29, 2006
MSI FINANCIAL SERVICES, INC.
February 17, 2004 - March 17, 2005
WAMU INVESTMENTS, INC.
January 28, 2004 - March 17, 2005
WAMU INVESTMENTS, INC.
April 24, 2003 - October 24, 2003
MORGAN STANLEY DW INC.
April 15, 2003 - October 24, 2003
MORGAN STANLEY DW INC.
October 11, 2002 - December 9, 2002
NEWBRIDGE 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 7TO
Date: 3/11/2024
General Securities Representative ExaminationCurrent 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
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.
