Louis B. Wolkenstein
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 B Wolkenstein, who also goes by Louis Wolkenstein, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1989. Louis had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2010 - December 11, 2024
THE INVESTMENT ADVISOR LLC
July 27, 2007 - March 4, 2008
MORGAN STANLEY & CO. LLC
July 13, 2007 - March 4, 2008
MORGAN STANLEY & CO. LLC
November 27, 2002 - May 2, 2003
VERAVEST INVESTMENTS, INC.
August 6, 2001 - June 27, 2002
AMERIPRISE ADVISOR SERVICES, INC.
April 3, 1993 - June 21, 2001
CHARLES SCHWAB & CO., INC.
September 24, 1991 - May 13, 1992
LINCOLN INVESTMENT
February 6, 1989 - October 25, 1989
LEHMAN BROTHERS 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 8
Date: 7/2/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE INVESTMENT ADVISOR LLC
CRD#: 152589 / SEC#:
Contact information
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.
