Louis G. Beffa
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 George Beffa was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1973. Louis had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2003 - December 19, 2012
VBC SECURITIES, LLC
August 21, 1974 - January 2, 2003
MULTI SPECTRUM INVESTING CORPORATION
April 16, 1974 - November 23, 1974
JAY W KAUFMANN CO
July 2, 1973 - May 8, 1974
TODD AND 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
Exams
Series 1
Date: 6/23/1973
Registered Representative ExaminationCurrent Firm
VBC SECURITIES, LLC
CRD#: 5407 / SEC#: , 8-44141
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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