Louis A. Vellucci
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 Anthony Vellucci was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1989. Louis had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 24, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - June 12, 2012
GILFORD SECURITIES INCORPORATED
August 1, 2008 - August 8, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 24, 2008 - August 8, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 20, 2004 - August 6, 2008
CITIGROUP GLOBAL MARKETS INC.
January 20, 2004 - August 6, 2008
CITIGROUP GLOBAL MARKETS INC.
June 5, 2002 - January 21, 2004
MORGAN STANLEY DW INC.
August 11, 1995 - January 21, 2004
MORGAN STANLEY DW INC.
October 11, 1989 - June 22, 1990
EDWARD JONES
August 22, 1989 - September 13, 1989
J. T. MORAN & CO., 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
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
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.
