Louis V. Nardi

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CRD#: 1185435

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 Vincent Nardi was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 1983. Louis had worked at 10 firms and has passed the Series 63, Series 16, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

July 17, 2012 - November 1, 2013

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

NEW YORK, NY

Past

May 2, 2012 - July 25, 2012

BUCKMAN, BUCKMAN & REID, INC.

CRD#: 23407

LITTLE SILVER, NJ

Past

March 14, 2012 - May 7, 2012

FURTHER LANE SECURITIES, L.P.

CRD#: 38162

NEW YORK, NY

Past

January 6, 2009 - March 13, 2012

BUCKMAN, BUCKMAN & REID, INC.

CRD#: 23407

LITTLE SILVER, NJ

Past

February 11, 2004 - September 3, 2008

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

February 15, 2002 - February 5, 2004

AURIA SERVICES CORP.

CRD#: 27851

NEW YORK, NY

Past

October 28, 1997 - July 28, 2000

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

November 26, 1996 - October 17, 1997

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 1, 1994 - November 1, 1996

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

December 20, 1991 - January 31, 1994

R.W.PRESSPRICH & CO.

CRD#: 26460

NEW YORK, NY

Past

August 26, 1983 - November 19, 1991

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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

Series 63

Date: 6/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 16

Date: 3/30/1994

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/4/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/3/1999

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/1997

General Securities Principal Examination

Current Firm

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003 / SEC#: , 8-65552

Terminated by SEC on 07/03/2015

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 11/14/2001

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SEAPORT GLOBAL HOLDINGS, LLC	PARENT COMPANY
CONWILL, DANIEL OZA IV	CHAIRMAN, CEO	1714135
JOHNSON, MARY SAUNDERS	CFO	5680544
LAINFIESTA, EDWARD ROBERT	PRESIDENT	1139496
MERINGER, GARY E	GENERAL COUNSEL, COO	2179687
ZACK, DAVID	CCO	2356042

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Louis V. Nardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BUCKMAN, BUCKMAN & REID, INC.

FURTHER LANE SECURITIES, L.P.

BUCKMAN, BUCKMAN & REID, INC.

BMO CAPITAL MARKETS CORP.

AURIA SERVICES CORP.

CREDIT AGRICOLE SECURITIES (USA) INC.

CIBC WORLD MARKETS CORP.

NOMURA SECURITIES INTERNATIONAL, INC.

R.W.PRESSPRICH & CO.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/22/1993

Series 16

Date: 3/30/1994

Series 7

Date: 8/20/1983

Series 10

Date: 11/4/1999

Series 9

Date: 11/3/1999

Series 24

Date: 12/12/1997

Current Firm

GLOBAL HUNTER SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GLOBAL HUNTER SECURITIES, LLC

TRUST BUT VERIFY

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