Louis Stanley Faubert
Professional Summary
Louis Stanley Faubert was a registered financial advisor. Louis was a previously registered financial professional and started their career in finance 1966 - 2006. Louis had worked at 1 firm and has passed the Series 1 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
62 years in the financial services industry
Current & Past Employments
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Current Firm
DIVERSIFIED SECURITIES, INCORPORATED
Contact Information
Established
California since 11/22/1965Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DSI FINANCIAL, INC. | PARENT COMPANY | — |
| BARRETT, THOMAS JOSEPH | FINOP | 2821759 |
| CALEB, KENNETH ANDRE | CHIEF COMPLIANCE OFFICER | 2031701 |
| CALEB, KENNETH ANDRE | CHIEF OPERATIONS OFFICER, EXECUTIVE VICE PRESIDENT | 2031701 |
| CONWAY, MICHAEL STEVEN | DIRECTOR ACCOUNT SERVICES, SR. VICE PRESIDENT | 3108375 |
| CONWAY, RICHARD PATRICK | PRESIDENT, CHIEF FINANCIAL OFFICER | 1764994 |
| CONWAY, RICHARD PATRICK | CHAIRMAN | 1764994 |
Disclosures
Regulatory Event
1Civil Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Oct 1964Series 00 — General Securities Principal Examination
Passed Jan 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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