Louis M. Wolfson
Professional summary
Louis Martin Wolfson, who also goes by Louis M Wolfson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Staten Island, New York and CETERA INVESTMENT SERVICES LLC located in Staten Island, New York.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Louis has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Louis Martin Wolfson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
June 14, 2019 - Present
CETERA INVESTMENT SERVICES LLC
May 8, 2018 - June 14, 2019
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
May 27, 2008 - July 11, 2019
LPL FINANCIAL LLC
May 27, 2008 - July 11, 2019
LPL FINANCIAL LLC
July 21, 2003 - May 27, 2008
IFMG SECURITIES, INC.
January 16, 2003 - May 27, 2008
IFMG SECURITIES, INC.
May 1, 2002 - January 7, 2003
WAMU INVESTMENTS, INC.
September 16, 1998 - May 1, 2002
DIME SECURITIES, INC.
July 11, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 11, 1988 - September 28, 1998
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/27/2023)
(6/14/2019)
(7/26/2023)
(7/10/2020)
(6/14/2019)
(6/14/2019)
(3/31/2021)
(6/14/2019)
(7/19/2023)
(1/27/2023)
(1/30/2023)
(12/17/2020)
(6/14/2019)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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