Louis A. Perno
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Louis Anthony Perno was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1981. Louis had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2018 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 5, 2018 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 18, 2002 - July 9, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - July 9, 2018
WELLS FARGO CLEARING SERVICES, LLC
December 28, 2001 - June 21, 2002
WACHOVIA SECURITIES, INC.
October 14, 1988 - June 15, 2002
WACHOVIA SECURITIES, INC.
October 30, 1985 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
January 2, 1985 - November 25, 1985
INVESTACORP, INC.
October 28, 1983 - January 21, 1985
WZW FINANCIAL SERVICES, INC.
December 11, 1981 - November 7, 1983
PW SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/3/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
