Louis J. Galeotafiore
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 Joseph Galeotafiore JR, who also goes by Lou Fiore, Louis Fiore, Lou Flore, Louis Joseph Galeotafiore, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1972. Louis had worked at 17 firms and has passed the Series 63, Series 55, Series 7, Series 1, Series 27, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2008 - August 25, 2008
PARKER FINANCIAL CORP.
February 7, 2005 - January 28, 2008
BASIC INVESTORS INC.
February 5, 2004 - October 18, 2006
MARQUIS FINANCIAL SERVICES, INC.
February 21, 2002 - September 12, 2003
BENCHMARK SECURITIES GROUP, INC.
January 29, 2002 - February 28, 2002
INTREPID SECURITIES, INC.
November 12, 1999 - January 15, 2002
NEW WORLD SECURITIES, INC.
April 24, 1997 - November 4, 1999
DUPONT SECURITIES GROUP, INC.
October 27, 1993 - October 24, 1996
MIDWOOD SECURITIES, INC.
September 11, 1990 - November 9, 1993
AMERITRADE INSTITUTIONAL SERVICES, INC.
June 9, 1988 - September 21, 1988
COLEMAN & COMPANY SECURITIES, INC.
December 17, 1987 - May 11, 1988
R.C. STAMM & CO., INC.
October 8, 1987 - November 18, 1987
HAAS SECURITIES CORPORATION
August 21, 1986 - October 2, 1987
ANDREW PECK ASSOCIATES INC.
August 27, 1984 - June 27, 1985
MURIEL SIEBERT & CO., LLC
March 30, 1984 - August 17, 1984
VANDERBILT SECURITIES, INC.
January 26, 1981 - February 4, 1987
ICAHN & CO., INC.
April 21, 1977 - December 15, 1980
MELHADO, FLYNN & ASSOCIATES, INC.
September 27, 1972 - September 2, 1979
ICAHN & 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
Series 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 9/25/1972
Registered Representative ExaminationSeries 12
Date: 4/16/1983
NYSE Branch Manager ExaminationCurrent Firm
PARKER FINANCIAL CORP.
CRD#: 42140 / SEC#: , 8-49713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLENIUM CAPITAL TRADING LLC | SHAREHOLDER | |
| SUNSPOT HOLDING CORP. | SHAREHOLDER | |
| RIVERSO, RAFFAEL GIGLIO | SHAREHOLDER | 2022485 |
| ROMEU, ALFONSO L | COMPLIANCE OFFICER, CEO , AML OFFICER |
Disclosures
| Regulatory Event | 3 |
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.
