Louis Nebel
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 Nebel was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1986. Louis had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2011 - September 19, 2012
STONEX SECURITIES INC.
December 9, 2011 - September 19, 2012
INTL ADVISORY CONSULTANTS INC.
December 9, 2011 - December 14, 2011
STERNE, AGEE & LEACH, INC.
March 17, 2011 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
July 1, 2010 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
November 25, 2008 - July 7, 2010
JESUP & LAMONT SECURITIES CORP
October 13, 2008 - October 17, 2008
JESUP & LAMONT SECURITIES CORP
January 3, 2003 - March 17, 2011
NEBEL FINANCIAL SERVICES, LLC.
July 20, 2001 - November 26, 2008
EMPIRE FINANCIAL GROUP, INC.
May 7, 1997 - July 20, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
August 14, 1990 - May 9, 1997
WORLD INVEST CORPORATION
December 8, 1988 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
December 18, 1987 - December 13, 1988
FIRST CHESAPEAKE SECURITIES CORPORATION
May 22, 1986 - December 24, 1987
CAPITAL EXPANSION GROUP, 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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
