Louis J. Cenicola
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 James Cenicola, who also goes by Louis James Cenicola, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1988. Louis had worked at 6 firms and has passed the Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2012 - March 19, 2013
MFR SECURITIES, INC.
March 30, 2011 - October 17, 2011
NEWEDGE USA, LLC
October 15, 2007 - February 23, 2010
BGC FINANCIAL, L.P.
April 29, 2005 - July 23, 2007
UBS SECURITIES LLC
August 20, 1990 - June 27, 1994
SBC WARBURG, INC.
August 25, 1988 - March 9, 1989
SBCI SWISS BANK CORPORATION INVESTMENT BANKING 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
Series 62
Date: 4/28/2005
Corporate Securities Limited Representative ExaminationCurrent Firm
MFR SECURITIES, INC.
CRD#: 36308 / SEC#: , 8-47186
Contact information
FINRA licenses (13 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
