Louis R. Smith
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 Rollin Smith II, who also goes by Lou Smith, Louis Rollin Smith, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1982. Louis had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 53, Series 14, Series 4, Series 12 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2016 - November 16, 2018
MOLONEY SECURITIES ASSET MANAGEMENT LLC
January 27, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
November 18, 2015 - April 27, 2016
MOLONEY SECURITIES CO., INC.
April 5, 2004 - November 16, 2018
MOLONEY SECURITIES CO., INC.
July 25, 2000 - April 1, 2004
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 27, 1992 - July 21, 2000
COMMERCE BROKERAGE SERVICES, INC.
December 5, 1986 - June 12, 1992
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 17, 1986 - December 22, 1986
NBD BROKERAGE SERVICES, INC.
August 26, 1982 - June 12, 1992
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 15
Date: 5/15/1984
Foreign Currency Options ExaminationSeries 12
Date: 11/22/1983
NYSE Branch Manager ExaminationCurrent Firm
MOLONEY SECURITIES ASSET MANAGEMENT LLC
CRD#: 282448 / SEC#: 801-107149
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,390 |
| AUM (Assets Under Management) | $ 1,389,405,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/20/2023 |
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.
