Louis F. Barnett
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 Fernando Barnett was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1984. Louis had worked at 6 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2016 - September 4, 2019
REGULUS FINANCIAL GROUP, LLC
August 16, 2007 - February 5, 2016
FIRST ALLIED SECURITIES, INC.
October 27, 2004 - September 10, 2007
CENTAURUS FINANCIAL, INC.
August 30, 1999 - October 29, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 23, 1996 - August 27, 1999
WMA SECURITIES, INC.
April 1, 1991 - July 26, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 6, 1984 - April 1, 1991
PW 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
Current Firm
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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