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Louis P. Kreisberg

Some features on this profile are disabled
CRD#: 1352881
LK

Professional summary

Louis Paul Kreisberg was barred by the FINRA 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 1985. Prior to being barred, Louis had worked at 9 firms, which includes WAVECREST SECURITIES LLC, PICKWICK CAPITAL PARTNERS LLC, INTE SECURITIES LLC, JOSEPH CAPITAL LLC, UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., NATHAN & LEWIS SECURITIES INC., GUARDIAN INVESTOR SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 22, 2013 - April 29, 2020

WAVECREST SECURITIES LLC

BD
CRD#: 160135
BRENTWOOD, TN
Past

October 22, 2012 - January 23, 2020

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

May 14, 2010 - December 31, 2011

INTE SECURITIES LLC

BD
CRD#: 47107
BOCA RATON, FL
Past

September 27, 2006 - February 13, 2008

JOSEPH CAPITAL, LLC

BD
CRD#: 120414
NEW YORK, NY
Past

August 26, 1997 - October 13, 2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
NEW YORK, NY
Past

February 15, 1995 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

February 15, 1995 - September 18, 1997

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

April 7, 1994 - February 1, 1995

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

June 29, 1989 - February 15, 1995

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

March 19, 1985 - July 28, 1988

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1985
General Securities Representative Examination

Current Firm

WS
WAVECREST SECURITIES LLC
WAVECREST SECURITIES LLC

CRD#: 160135 / SEC#: , 8-69029

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
205 Powell Place, Brentwood, TN 37027
Mailing Address
205 Powell Place, Brentwood, TN 37027
Phone number
(646) 558-6322
Established
Delaware since 12/02/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WAVECREST HOLDINGS LLCOWNER
CREIGHTON, JOHN MATTHEWFINOP1909492
MACK, KRISTOFFER BPRESIDENT & MANAGING MEMBER1600055
RAPELLO, PAUL STUARTCHIEF COMPLIANCE OFFICER & MANAGING MEMBER1726017

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.

Company Information

WAVECREST SECURITIES LLC

CRD#: 160135

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