Louis V. Liguori
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 Liguori, who also goes by Louis VIncent Ligouri, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1996. Louis had worked at 3 firms and has passed the Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2003 - December 2, 2003
BNY CLEARING SERVICES LLC
July 31, 2002 - January 7, 2003
G&L PARTNERS, LLC
March 1, 1996 - August 20, 2002
ROBERTSON STEPHENS, 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 25
Date: 8/2/2002
NYSE Trading Assistant ExaminationCurrent Firm
BNY CLEARING SERVICES LLC
CRD#: 15879 / SEC#: , 8-32874
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE WALL STREET HOLDINGS LLC | SHAREHOLDER | |
| BLACK, CRAIG MARSHALL | EVP / CCO / ASSISTANT SECRETARY | 22419 |
| LASALLA, FRANCIS JOSEPH | COO / NON-EMPLOYEE MANAGER | 1081124 |
| MARATEA, RAYMOND JERRY | EXECUTIVE VICE PRESIDENT | 2538056 |
| MASTRANGELO, RALPH MICHAEL | NON-EMPLOYEE MANAGER | 3168192 |
| PERNA, THOMAS | NON-EMPLOYEE MANAGER | 3169328 |
| RAPPOLD, CHARLES EDWARD II | NON-EMPLOYEE MANAGER | 1095326 |
| RUANE, BRIAN | NON-EMPLOYEE MANAGER | 3169333 |
| SHLOSS, STEPHEN R | NON-EMPLOYEE MANAGER | 1384181 |
| TOPINKA, JOSEPH ROBERT | CHIEF INFORMATION OFFICER | 3205306 |
| VIVIANO, CHARLES MICHAEL | CHAIRMAN / PRESIDENT / CEO / MANAGER / CFO | 2393319 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 9 |
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.
