Louis M. Pugliese
Professional summary
Louis Michael Pugliese, who also goes by Louis M Pulgiese, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Woodbridge, New Jersey.
Louis is registered as a RR (Registered Representative) and started their career in finance in 1987. Louis has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Louis Michael Pugliese's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2004 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 1460 Route 9 N Ste 210, Woodbridge, NJ 07095January 15, 2003 - February 25, 2004
LACONIA CAPITAL CORPORATION
February 22, 2002 - November 5, 2002
THOMAS FLETCHER & COMPANY, INC.
March 8, 2000 - September 4, 2001
FCG ADVISORS, LLC
November 24, 1998 - February 25, 2000
FINANCIAL CONSULTANT GROUP, LLC
January 16, 1998 - October 23, 1998
WILLIAM SCOTT & CO. L.L.C.
January 17, 1996 - December 1, 1997
AMERICAN INVESTMENT SERVICES, INC.
August 12, 1993 - December 19, 1995
FIRST ASSET MANAGEMENT, INC.
March 18, 1992 - July 22, 1992
GILFORD SECURITIES INCORPORATED
August 15, 1991 - January 29, 1992
HIGHLANDER CAPITAL GROUP, INC.
June 29, 1989 - September 6, 1989
CARNEGIE INVESTOR SERVICES INC.
April 4, 1989 - June 27, 1989
SECURITIES USA, INC.
March 1, 1989 - April 8, 1989
MONMOUTH INVESTMENTS, INC.
January 1, 1988 - March 10, 1989
INVESTORS CENTER, INC.
February 26, 1987 - January 14, 1988
E. F. HUTTON & COMPANY 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
(10/22/2021)
(9/20/2023)
(2/3/2022)
(8/5/2020)
(6/29/2022)
(9/28/2018)
(12/8/2011)
(1/28/2004)
(1/28/2004)
(4/6/2015)
(9/18/2020)
(11/26/2019)
(2/26/2019)
(8/11/2021)
Exams
FINRA
Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
