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LC

Louis S. Cowell

Some features on this profile are disabled
CRD#: 1906515
LC

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 Schindewolf Cowell was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 1988. Louis had worked at 13 firms and has passed the Series 63, Series 87, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 25, 2013 - September 11, 2013

TITLEIST CAPITAL, LLC

BD
CRD#: 126136
SAN ANTONIO, TX
Past

February 16, 2012 - February 1, 2013

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

February 10, 2010 - August 4, 2010

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
NEW YORK, NY
Past

October 29, 2008 - July 16, 2009

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

October 3, 2008 - October 22, 2008

SUMMIT SECURITIES GROUP LLC

BD
CRD#: 143727
NEW YORK, NY
Past

March 4, 2008 - July 9, 2008

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

September 25, 2006 - January 10, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 20, 2005 - August 31, 2006

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 14, 2004 - June 17, 2005

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

October 16, 1998 - August 13, 2001

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 29, 1997 - July 20, 1998

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 10, 1994 - November 8, 1994

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
NEW YORK, NY
Past

April 18, 1989 - August 24, 1989

W.H. NEWBOLD'S SON & CO., INC.

BD
CRD#: 7575
Past

December 20, 1988 - February 22, 1989

INVESTORS CENTER, INC.

BD
CRD#: 14670

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 9/20/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 4/13/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 1/20/1998
National Commodity Futures Examination

Current Firm

TC
TITLEIST CAPITAL, LLC
BLUM AND WHITE WEALTH MANAGEMENT, LLC | VISION BASED PLANNING, LLC | TITLEIST CAPITAL, LLC | TITLEIST ASSET MANAGEMENT, LTD. | R JUDD WEALTH MANAGEMENT, LLC | PARAGON PRIVATE WEALTH GROUP LLC | MOSAIC FINANCIAL ADVISERS, LLC | KEYSTONE WEALTH MANAGEMENT, LLC | ENSEMBLE FINANCIAL, INC.

CRD#: 126136 / SEC#: 801-80959, 8-65859

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
777 E. Sonterra Boulevard Suite 330 Suite 330, San Antonio, TX 78258
Mailing Address
777 E. Sonterra Boulevard Suite 330, San Antonio, TX 78258
Phone number
(210) 826-2424
Established
Texas since 01/02/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
32

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TITLEIST CAPITAL, LLC WRAP BROCHURE (3/31/2023)
TITLEIST CAPITAL, LLC ADV PART 2A (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
FIELDS, BYRON LUCIENMANAGING MEMBER4227890
O'BANION, JOE-BENMANAGING MEMBER3030302
KING, RUSSELL CLARKMEMBER4601106
KALB, NEIL HOWARDMEMBER2883701
SADZEWICZ, GERY JOSEPHCHIEF COMPLIANCE OFFICER1090963

Disclosures

Regulatory Event2

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.

Company Information

TITLEIST CAPITAL, LLC

CRD#: 126136

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