Louis R. Tenney
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 Russell Tenney was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1982. Louis had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2008 - August 18, 2017
FINANCIAL WEST GROUP
March 10, 2006 - January 16, 2008
THE SHEMANO GROUP, INC.
January 3, 2003 - February 28, 2006
WESTERN INTERNATIONAL SECURITIES, INC.
February 11, 2002 - January 6, 2003
FIRST ALLIED SECURITIES, INC.
May 18, 2000 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
May 25, 1999 - May 18, 2000
DRAKE & COMPANY, INC.
February 22, 1999 - October 3, 2000
PARAGON CAPITAL MARKETS, INC.
March 27, 1985 - February 23, 1999
DRAKE & COMPANY, INC.
April 29, 1982 - April 8, 1985
FIRST WILSHIRE SECURITIES, INC.
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 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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