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LB

Louis T. Buonocore

Some features on this profile are disabled
CRD#: 1069201
LB

Professional summary

Louis Thomas Buonocore was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Louis is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Louis had worked at 14 firms, which includes ROYAL PALM INVESTMENTS LTD., CORTLANDT CAPITAL CORPORATION, MASTERS FINANCIAL GROUP INC., PRINCETON FINANCIAL GROUP INC., NETWORK 1 FINANCIAL SECURITIES INC., JONATHAN ALAN & CO. INC., MLB INVESTMENTS LTD., MONMOUTH INVESTMENTS INC., J. T. MORAN & CO. INC., PHILIPS APPEL & WALDEN INC., VANDERBILT SECURITIES INC., A. G. EDWARDS & SONS INC., STATEN SECURITIES CORPORATION, FIRST JERSEY SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 3, 1996 - December 16, 1996

ROYAL PALM INVESTMENTS, LTD.

BD
CRD#: 28761
GREEN ACRES, FL
Past

August 20, 1992 - January 17, 1995

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

August 14, 1991 - August 31, 1992

MASTERS FINANCIAL GROUP, INC.

BD
CRD#: 25747
LITTLE ROCK, AR
Past

May 1, 1990 - August 9, 1991

PRINCETON FINANCIAL GROUP, INC.

BD
CRD#: 14597
Past

January 4, 1990 - April 24, 1990

NETWORK 1 FINANCIAL SECURITIES INC.

BD
CRD#: 13577
RED BANK, NJ
Past

September 7, 1989 - December 20, 1989

JONATHAN ALAN & CO., INC.

BD
CRD#: 15914
Past

June 26, 1989 - April 5, 1990

MLB INVESTMENTS, LTD.

BD
CRD#: 18280
Past

April 29, 1988 - September 13, 1991

MONMOUTH INVESTMENTS, INC.

BD
CRD#: 14047
Past

November 16, 1987 - March 11, 1988

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

May 19, 1987 - November 23, 1987

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

January 22, 1987 - May 5, 1987

VANDERBILT SECURITIES, INC.

BD
CRD#: 14280
Past

June 25, 1986 - January 9, 1987

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

November 3, 1983 - May 27, 1986

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

May 3, 1983 - November 17, 1983

STATEN SECURITIES CORPORATION

BD
CRD#: 5632
Past

December 22, 1982 - April 14, 1983

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/5/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1982
General Securities Representative Examination

Current Firm

RP
ROYAL PALM INVESTMENTS, LTD.
PCM SECURITIES LIMITED, L.P. | ROYAL PALM INVESTMENTS, LTD. | PCM SECURITIES, LTD.

CRD#: 28761 / SEC#: , 8-43951

BD
Cancelled by SEC on 06/13/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/01/1991
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

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.

Company Information

ROYAL PALM INVESTMENTS, LTD.

CRD#: 28761

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