Louis J. Piro
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 Joseph Piro JR, who also goes by Louis Joseph Piro, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1988. Louis had worked at 19 firms and has passed the Series 63, Series 57TO, Series 62, SIE, Series 55, Series 7 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
June 2, 2021 - May 12, 2023
PAULSON INVESTMENT COMPANY LLC
May 25, 2016 - June 1, 2021
THE VERTICAL GROUP
January 29, 2016 - May 24, 2016
CELADON FINANCIAL GROUP LLC
August 15, 2014 - February 26, 2016
THE VERTICAL GROUP
June 16, 2011 - August 21, 2014
W.A. CAPITAL MARKETS
January 12, 2006 - December 13, 2010
RUSHMORE CAPITAL, INC.
January 4, 2006 - June 20, 2011
DOMESTIC SECURITIES, INC.
March 17, 2005 - January 5, 2006
JEFFERIES LLC
February 22, 2005 - March 9, 2005
HUDSON SECURITIES,INC.
November 18, 1997 - March 8, 2005
CROWN FINANCIAL GROUP, INC.
September 2, 1997 - November 10, 1997
ASH FINANCIAL CORP.
October 27, 1995 - September 2, 1997
FAIRCHILD FINANCIAL GROUP, INC.
February 23, 1994 - June 27, 1994
BERNARD, RICHARDS SECURITIES, INC.
October 28, 1993 - November 2, 1993
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
May 7, 1993 - September 9, 1993
H.J. MEYERS & CO., INC.
December 7, 1992 - January 1, 1993
GKN SECURITIES CORP.
April 14, 1992 - October 13, 1992
R.K. STEELE
January 14, 1992 - February 28, 1992
D. H. BLAIR & CO., INC.
May 1, 1991 - May 23, 1991
HERZOG, HEINE, GEDULD, LLC
February 8, 1990 - March 14, 1991
W.A. CAPITAL MARKETS
April 8, 1988 - October 24, 1989
ASIEL & CO. LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 55
Date: 3/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
