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Carolina Rojas

PWA SECURITIES
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 5002789
CR

Professional summary

Carolina Rojas, who also goes by Carolina Rojas Holguin, Rosa C. Rojas, is a registered financial professional currently at PWA SECURITIES, LLC located in Fort Lauderdale, Florida.

Carolina is registered as a RR (Registered Representative) and started their career in finance in 2007. Carolina has worked at 6 firms and has passed the Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carolina Rojas Holguin | Rosa C. Rojas

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

Click below to view Carolina Rojas's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 25, 2023 - Present

PWA SECURITIES, LLC

Office #1: 200 East Las Olas Blvd 19th Floor, Fort Lauderdale, FL, 33301
BD
CRD#: 321974
Fort Lauderdale, FL
Past

August 12, 2022 - August 25, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
FT. LAUDERDALE, FL
Past

October 4, 2012 - October 19, 2020

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
HOLLYWOOD, FL
Past

January 15, 2009 - March 20, 2012

OSAIC FS, INC.

BD
CRD#: 3870
PLANTATION, FL
Past

June 29, 2007 - June 5, 2008

OSAIC FS, INC.

BD
CRD#: 3870
PLANTATION, FL
Past

May 8, 2007 - June 6, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
FORT LAUDERDALE, FL
Past

May 8, 2007 - June 6, 2007

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
FORT LAUDERDALE, FL

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
Florida
(8/28/2023)

Exams

General Industry/Product Exam
RR
Series 6TO
Date: 3/13/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/7/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PWA SECURITIES, LLC
PWA SECURITIES, LLC

CRD#: 321974 / SEC#: , 8-70938

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
200 East Las Olas Blvd 19th Floor, Fort Lauderdale, FL 33301-2281
Mailing Address
200 East Las Olas Blvd 19th Floor, Fort Lauderdale, FL 33301-2281
Phone number
(954) 712-8888
Established
Florida since 05/04/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PWA HOLDINGS, LLCMEMBER
DONELSON, LISA ANTOINETTECOMPLIANCE OFFICER2248926
HEDIGER, LEE FREDERICKBOARD OF DIRECTORS2696174
MOLL, TODD ANTHONYBOARD OF DIRECTORS2134560
ROSANEL, JOSEPH PINHASFINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER6215325
SAKA, JOSEPH LESTERBOARD OF DIRECTORS7704169
SCANLAN, THOMAS JOSEPHPRESIDENT, CHIEF COMPLIANCE OFFICER, COO, MUNI PRINCIPAL, REGISTERED OPTIONS PRINCIPAL, POO3182780

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.

Company Information

PWA SECURITIES, LLC

CRD#: 321974Fort Lauderdale, FL 33301

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