Louis A. Rowlett
Professional summary
Louis Albert Rowlett JR, who also goes by (jr) Louis A Rowlett, is a registered financial professional currently at SAMCO CAPITAL MARKETS, INC. located in Dallas, Texas.
Louis is registered as a RR (Registered Representative) and started their career in finance in 1984. Louis has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 50, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Louis Albert Rowlett JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2006 - Present
SAMCO CAPITAL MARKETS, INC.
Office #1: 1700 Pacific Avenue, Suite 4650, Dallas, TX 75201February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
July 20, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
February 4, 1998 - September 6, 2000
PENSON FINANCIAL SERVICES, INC.
February 18, 1987 - February 17, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
October 25, 1984 - March 2, 1987
MORGAN STANLEY DW 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
(5/19/2006)
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(7/18/2011)
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532Dallas, TX 75201TRUST BUT VERIFY
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