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Stefan Pollmann

Williams Trading LLC

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About Stefan Pollmann

Stefan Pollmann is a financial advisor who has been in the industry since 2015. Stefan is currently registered with Williams Trading LLC. Stefan has experience with Investment Banking, General Securities and Commodity Futures. Stefan has passed the following exams: Series 7, Series 3, SIE, Series 79TO and Series 63. Stefan is registered with the following states: Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Kansas, Maryland, Massachusetts, Michigan, Minnesota, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, Washington and Wisconsin. Stefan was previously registered with Salomon Smith Barney Inc. and Salomon Brothers Inc.

Firm Information

Stefan Pollmann is currently registered with Williams Trading LLC. Williams Trading LLC is a Limited Liability Company formed in December 2010. The firm is registered with the SEC and in 31 states.

Not reported

Assets Under Management

Not reported

Total Clients

15

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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Stefan Pollmann’s Registration & Firm History

CT

06/11/2019 - Present

Williams Trading LLC (WESTPORT CT)

NY

09/01/1998 - 03/08/2000

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

11/07/1995 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/17/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/04/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 06/11/2019

Series 7TO - General Securities Representative Examination

BC

Issued 06/03/2019

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/2016

Series 3 - National Commodity Futures Examination

BC

Issued 11/06/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stefan Pollmann.
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