Louis J. Pelz

CORE CAPITAL MANAGEMENT AND RESEARCH

Houston, TX 77019

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CRD#: 1909087

Professional summary

Louis John Pelz JR, who also goes by Lou Pelz, is a registered financial advisor currently at CORE CAPITAL MANAGEMENT AND RESEARCH INC. located in Houston, Texas.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Louis has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lou Pelz

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.

OWNER - CORE INCOME MANAGEMENT, INVESTMENT RELATED BUSINESS PELZ FAMILY LP - ASSET HOLDING AND LEASING COMPANY - INVESTMENT RELATED, 5205 SAGECIRCLE S, HOUSTON, TX 77056, GENERAL PARTNER SINCE 2001, 10 HOURS A MONTH - ALL DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis John Pelz JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 7, 2008 - Present

CORE CAPITAL MANAGEMENT AND RESEARCH INC.

Office #1: 3401 Allen Parkway, Houston, TX 77019

RIA

CRD#: 146285

Houston, TX

Past

May 1, 2007 - June 17, 2008

GOLDEN BENEFICIAL SECURITIES CORPORATION

RIA

CRD#: 48029

HOUSTON, TX

Past

May 1, 2007 - November 18, 2013

GOLDEN BENEFICIAL SECURITIES CORPORATION

CRD#: 48029

HOUSTON, TX

Past

May 12, 2004 - April 25, 2007

WESTPARK WEALTH ADVISORS, INC.

RIA

CRD#: 130914

HOUSTON, TX

Past

June 20, 1997 - December 31, 2004

IMS SECURITIES, INC.

RIA

CRD#: 35567

HOUSTON, TX

Past

June 20, 1997 - April 25, 2007

IMS SECURITIES, INC.

CRD#: 35567

HOUSTON, TX

Past

September 20, 1996 - June 23, 1997

M. J. WHITMAN, INC.

CRD#: 27870

NEW YORK, NY

Past

May 28, 1993 - July 23, 1996

COASTAL SECURITIES, INC.

CRD#: 27834

HOUSTON, TX

Past

December 20, 1988 - September 20, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

CRD#: 839

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CORE CAPITAL MANAGEMENT AND RESEARCH INC.

15 FINANCIAL | CORE CAPITAL MANAGEMENT AND RESEARCH INC.

CRD#: 146285 / SEC#: 801-72083

RIA

Registered Investment Advisory firm - (1/3/2011 Approved)

Texas

Registered Investment Advisory firm - (12/9/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/4/2016)

IAR

Texas
(2/7/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/27/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/2/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/27/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 9/23/2008

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 7/27/1999

General Securities Principal Examination

Current Firm

CORE CAPITAL MANAGEMENT AND RESEARCH INC.

15 FINANCIAL | CORE CAPITAL MANAGEMENT AND RESEARCH INC.

CRD#: 146285 / SEC#: 801-72083

RIA

Registered Investment Advisory firm - (1/3/2011 Approved)

Texas

Registered Investment Advisory firm - (12/9/2022 Terminated)

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Contact information

Main Address

3401 Allen Parkway, Houston, TX 77019

Mailing Address

Phone number

(713) 864-4300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 CORE CAPITAL MANAGEMENT FORM 2A BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	221
AUM (Assets Under Management)	$ 243,122,403

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.

Contact information

xxxxx@xxxx.xxx

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Louis J. Pelz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis John Pelz JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDEN BENEFICIAL SECURITIES CORPORATION

GOLDEN BENEFICIAL SECURITIES CORPORATION

WESTPARK WEALTH ADVISORS, INC.

IMS SECURITIES, INC.

IMS SECURITIES, INC.

M. J. WHITMAN, INC.

COASTAL SECURITIES, INC.

UNDERWOOD, NEUHAUS & CO., INCORPORATED

Primary Firm SEC Registration

CORE CAPITAL MANAGEMENT AND RESEARCH INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/1997

Series 63

Date: 6/2/1993

Series 7

Date: 5/27/1993

Series 30

Date: 9/23/2008

Series 24

Date: 7/27/1999

Current Firm

CORE CAPITAL MANAGEMENT AND RESEARCH INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORE CAPITAL MANAGEMENT AND RESEARCH INC.

TRUST BUT VERIFY

Contact information

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