Louis R. Petracca
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 Richard Petracca III, who also goes by Louis Richard Petracca, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1983. Louis had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 53 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
March 17, 2005 - May 18, 2021
WATERWAY CAPITAL LLC
February 17, 1999 - March 23, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 28, 1986 - February 17, 1999
WILLIAM BLAIR
September 11, 1984 - September 19, 1986
B. R. STICKLE & CO.
July 20, 1983 - August 23, 1984
THOMSON MCKINNON 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WATERWAY CAPITAL LLC
CRD#: 128212 / SEC#: , 8-66108
Contact information
FINRA licenses (13 States and Territories)
Red Flags
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