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Carol Pedersen Mathis

Barclays Capital Inc.

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About Carol Pedersen Mathis

Carol Mathis is a financial professional with over 17 years of experience in the industry. Carol has worked at several prominent firms, including MUFG Securities Americas Inc., MUFG Americas Corporate Advisory, Inc., and RBS Securities Inc. Currently, Carol is registered with Barclays Capital Inc. as a Financial and Operations Principal. Carol's professional experience is grounded in the Series 27 exam which she passed in October 2001.

Firm Information

Carol Mathis is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Carol Mathis’s Registration & Firm History

NY

01/05/2021 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

02/13/2019 - 01/07/2021

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

NY

10/16/2019 - 02/24/2020

MUFG AMERICAS CORPORATE ADVISORY, INC. (NEW YORK NY)

CT

10/18/2001 - 03/11/2016

RBS SECURITIES INC. (GREENWICH CT)

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Licenses & Designations

BC

Issued 10/09/2001

Series 27 - Financial and Operations Principal Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 3 public disclosures for Carol Pedersen Mathis. Review regulatory record here.
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