Louis J. Hanna
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 James Hanna, who also goes by Lou Hanna, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1989. Louis had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2020 - December 1, 2023
REALTA EQUITIES, INC.
October 24, 2019 - June 17, 2020
J. ALDEN ASSOCIATES, INC.
June 28, 2016 - November 14, 2017
OSAIC FS, INC.
June 28, 2016 - November 14, 2017
OSAIC FA, INC.
May 5, 2015 - September 24, 2015
SUMMIT BROKERAGE SERVICES, INC.
August 8, 2014 - May 11, 2015
LPL FINANCIAL LLC
July 14, 2010 - June 30, 2014
REALTA EQUITIES, INC.
September 8, 2006 - July 1, 2009
FORESIDE DISTRIBUTION SERVICES, L.P.
April 28, 2005 - May 23, 2005
AMERIMUTUAL FUNDS DISTRIBUTOR, INC.
July 21, 2004 - October 29, 2004
FULCRUM GLOBAL PARTNERS LLC
August 7, 2002 - March 30, 2004
FURMAN SELZ CAPITAL MANAGEMENT LLC
November 2, 2000 - March 30, 2004
ING INVESTMENT MANAGEMENT SERVICES LLC
March 29, 2000 - October 30, 2000
ING FUNDS DISTRIBUTOR, INC.
December 2, 1999 - March 22, 2000
SECURITIES AMERICA, INC.
June 18, 1999 - August 30, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 24, 1994 - October 31, 1994
SEI INVESTMENTS DISTRIBUTION CO.
September 27, 1993 - May 16, 1994
MARKETING ONE SECURITIES, INC.
July 31, 1993 - August 20, 1993
CITIGROUP GLOBAL MARKETS INC.
October 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
October 24, 1989 - November 15, 1989
MLB INVESTMENTS, LTD.
June 22, 1989 - October 31, 1989
FORESTERS FINANCIAL SERVICES, 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
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
