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AO

Azusena O. Olaguez

TRADESTATION SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6638028
AO

Professional summary

Azusena Olaguez Olaguez, who also goes by Azusena O Olaguez, Azusena Olaguez, Suzy O Olaguez, Suzy Olaguez, Azusena Olaguez Olaguez, Suzy Olaguez Olaguez, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.

Azusena is registered as a RR (Registered Representative) and started their career in finance in 2016. Azusena has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Azusena O Olaguez | Azusena Olaguez | Suzy O Olaguez | Suzy Olaguez | Azusena Olaguez Olaguez | Suzy Olaguez Olaguez

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 Azusena Olaguez Olaguez'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

March 3, 2026 - Present

TRADESTATION SECURITIES, INC.

Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606
BD
CRD#: 39473
Chicago, IL
Past

March 12, 2022 - January 16, 2026

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHICAGO, IL
Past

March 26, 2020 - January 16, 2026

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CHICAGO, IL
Past

September 3, 2019 - February 20, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Chicago, IL
Past

June 17, 2016 - February 21, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL

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
Alabama
(3/3/2026)
RR
Alaska
(3/3/2026)
RR
Arizona
(3/3/2026)
RR
Arkansas
(3/3/2026)
RR
California
(3/3/2026)
RR
Colorado
(3/3/2026)
RR
Connecticut
(3/3/2026)
RR
Delaware
(3/3/2026)
RR
District of Columbia
(3/3/2026)
RR
Florida
(3/3/2026)
RR
Georgia
(3/3/2026)
RR
Hawaii
(3/3/2026)
RR
Idaho
(3/3/2026)
RR
Illinois
(3/3/2026)
RR
Indiana
(3/3/2026)
RR
Iowa
(3/3/2026)
RR
Kansas
(3/3/2026)
RR
Kentucky
(3/3/2026)
RR
Louisiana
(3/3/2026)
RR
Maine
(3/3/2026)
RR
Maryland
(3/3/2026)
RR
Massachusetts
(3/3/2026)
RR
Michigan
(3/3/2026)
RR
Minnesota
(3/3/2026)
RR
Mississippi
(3/3/2026)
RR
Missouri
(3/3/2026)
RR
Montana
(3/3/2026)
RR
Nebraska
(3/3/2026)
RR
Nevada
(3/3/2026)
RR
New Hampshire
(3/3/2026)
RR
New Jersey
(3/3/2026)
RR
New Mexico
(3/3/2026)
RR
New York
(3/3/2026)
RR
North Carolina
(3/3/2026)
RR
North Dakota
(3/3/2026)
RR
Ohio
(3/3/2026)
RR
Oklahoma
(3/3/2026)
RR
Oregon
(3/3/2026)
RR
Pennsylvania
(3/3/2026)
RR
Puerto Rico
(3/3/2026)
RR
Rhode Island
(3/3/2026)
RR
South Carolina
(3/3/2026)
RR
South Dakota
(3/3/2026)
RR
Tennessee
(3/3/2026)
RR
Texas
(3/3/2026)
RR
Utah
(3/3/2026)
RR
Vermont
(3/3/2026)
RR
Virginia
(3/3/2026)
RR
Washington
(3/3/2026)
RR
West Virginia
(3/3/2026)
RR
Wisconsin
(3/3/2026)
RR
Wyoming
(3/3/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/12/2022
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/29/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/30/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/17/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.

CRD#: 39473 / SEC#: , 8-48711

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

Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
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#
TRADESTATION GROUP, INC.OWNER - PARENT CORPORATION
BOLEK, JOHN MITCHELLPRINCIPAL OPERATIONS OFFICER2363046
KOROTKIY, PETERPRESIDENT & CHIEF OPERATING OFFICER2706102
MORMILE-WOLPER, MYRA CHRISTINEGENERAL COUNSEL AND ASSISTANT SECRETARY6753154
ROJEK, JAMES HCHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER3096214
WALTON, HERBERTCHIEF COMPLIANCE OFFICER4030847

Disclosures

Regulatory Event28
Arbitration4

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

TRADESTATION SECURITIES, INC.

CRD#: 39473Chicago, IL 60606

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