Louise Guarneri
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.
Louise Guarneri was a registered financial professional .
Louise is a previously registered financial professional and started their career in finance in 1983. Louise had worked at 3 firms and has passed the SIE, Series 15, Series 7, Series 14, Series 8 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
March 11, 2014 - September 15, 2016
WAKE USA LLC
August 8, 2001 - September 14, 2016
CREDIT SUISSE SECURITIES (USA) LLC
April 19, 1983 - August 9, 2001
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 4/13/1984
Foreign Currency Options ExaminationSeries 8
Date: 2/4/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WAKE USA LLC
CRD#: 168401 / SEC#: , 8-69306
Contact information
Documents
Red Flags
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