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TP

Trisha M. Pietz

ROBINHOOD SECURITIES
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 5199180
TP

Professional summary

Trisha Marie Pietz, who also goes by Trisha M Pietz, Trisha Pietz, is a registered financial professional currently at ROBINHOOD SECURITIES, LLC located in Lake Mary, Florida and ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.

Trisha is registered as a RR (Registered Representative) and started their career in finance in 2006. Trisha has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Trisha M Pietz | Trisha Pietz

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 Trisha Marie Pietz'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

July 11, 2024 - Present

ROBINHOOD SECURITIES, LLC

Office #1: 500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
BD
CRD#: 287900
Lake Mary, FL
Current

July 11, 2024 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746
BD
CRD#: 165998
Lake Mary, FL
Past

November 14, 2013 - July 12, 2024

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

December 22, 2010 - March 4, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

August 6, 2010 - December 20, 2010

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
MINNEAPOLIS, MN
Past

February 5, 2009 - March 16, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MINNEAPOLIS, MN
Past

August 28, 2006 - April 10, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Minnesota
(7/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/25/2006
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: , 8-69188

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

Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
ROBINHOOD MARKETS, INC100% OWNER
BILLINGS, MATTHEW JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1915377
CAVALLARO, ANTHONY JOSEPHCHIEF COMPLIANCE OFFICER1607925
GALVIN, SCOT SEANPRINCIPAL OPERATIONS OFFICER3226179
KELATI, DANIEL TCHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP3103432
KOLLER, WALTERCHIEF OPERATING OFFICER1932260
QUIRK, STEVEN MARKMANAGER2728768
SUBRAMANIAN, SIVARAMAKRISHNANMANAGER7339479

Disclosures

Regulatory Event55
Arbitration6

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

ROBINHOOD FINANCIAL, LLC

CRD#: 165998Lake Mary, FL 32746

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