Arthur G. Louie
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.
Arthur Git Louie was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1991. Arthur had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2017 - October 26, 2017
E-W INVESTMENTS, INC.
January 17, 2017 - October 26, 2017
E-W INVESTMENTS, INC.
October 29, 2013 - March 23, 2015
U.S. BANCORP ADVISORS, LLC
October 29, 2013 - March 23, 2015
U.S. BANCORP ADVISORS, LLC
March 22, 2012 - October 7, 2013
HSBC SECURITIES (USA) INC.
March 22, 2012 - October 7, 2013
HSBC SECURITIES (USA) INC.
April 20, 2011 - March 30, 2012
CITIGROUP GLOBAL MARKETS INC.
April 19, 2011 - March 30, 2012
CITIGROUP GLOBAL MARKETS INC.
August 6, 2008 - April 18, 2011
BANCWEST INVESTMENT SERVICES, INC.
November 12, 2003 - April 18, 2011
BANCWEST INVESTMENT SERVICES, INC.
May 1, 2000 - November 13, 2003
LPL FINANCIAL LLC
January 5, 1998 - May 2, 2000
GUARANTY BROKERAGE SERVICES, INC.
November 13, 1996 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
April 11, 1995 - November 14, 1996
WEDBUSH SECURITIES INC.
November 4, 1991 - July 12, 1996
H.J. MEYERS & CO., INC.
May 21, 1991 - June 21, 1991
INTERFIRST CAPITAL CORPORATION
January 22, 1991 - April 15, 1991
H.J. MEYERS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
E-W INVESTMENTS, INC.
CRD#: 17463 / SEC#: , 8-35259
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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