Louis A. Maschi
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 Anthony Maschi was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1987. Louis had worked at 9 firms and has passed the Series 63, SIE 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
May 15, 2015 - June 26, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
December 19, 2012 - April 24, 2015
B. RILEY WEALTH MANAGEMENT
April 11, 2012 - December 19, 2012
BGC FINANCIAL, L.P.
February 2, 1997 - February 8, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
March 28, 1994 - February 3, 1997
GUGGENHEIM INVESTOR SERVICES, LLC
January 21, 1992 - March 11, 1994
DEALERWEB LLC
January 21, 1992 - July 26, 1994
HILLIARD FARBER SECURITIES CORP.
May 13, 1988 - January 13, 1992
TULLETT LIBERTY BROKERAGE INC.
July 25, 1987 - May 11, 1988
INTERCAPITAL GOVERNMENT SECURITIES 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: 12/2/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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