Louis Feldman
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 Feldman was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1971. Louis had worked at 9 firms and has passed the Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 1993 - February 2, 1994
JASON MACKENZIE SECURITIES, INC.
December 23, 1992 - June 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
February 27, 1992 - December 23, 1992
USA FINANCIAL GROUP, INC.
April 17, 1989 - November 22, 1991
FISCL SECURITIES, INC.
March 2, 1989 - March 7, 1989
SSI SECURITIES CORP.
January 4, 1984 - August 26, 1986
STONEBRIDGE SECURITIES,LTD.
March 5, 1973 - July 25, 1989
FIRST HERITAGE CORPORATION
December 6, 1972 - February 10, 1973
AMERIPRISE ADVISOR SERVICES, INC.
June 16, 1971 - January 4, 1973
ASHTON YOUNG, 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 1
Date: 6/10/1971
Registered Representative ExaminationSeries 00
Date: 7/17/1972
General Securities Principal ExaminationCurrent Firm
JASON MACKENZIE SECURITIES, INC.
CRD#: 15287 / SEC#: , 8-31910
Contact information
Documents
Red Flags
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