Louis G. Mohlman
Professional summary
Louis Gerald Mohlman JR 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 1983. Prior to being barred, Louis had worked at 6 firms, which includes MOHLMAN ASSET MANAGEMENT FUND LLC, MOHLMAN ASSET MANAGEMENT LLC, WELLS FARGO CLEARING SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2010 - September 19, 2017
MOHLMAN ASSET MANAGEMENT FUND, LLC
October 14, 2008 - February 22, 2018
MOHLMAN ASSET MANAGEMENT, LLC
November 9, 2007 - October 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 9, 2007 - October 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 15, 1998 - November 20, 2007
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - November 20, 2007
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 19, 1983 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Exams
Current Firm
MOHLMAN ASSET MANAGEMENT FUND, LLC
CRD#: 153183 / SEC#: 801-71171
Contact information
Red Flags
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