Louis Vetter

ALPACA SECURITIES LLC

NEW YORK, NY 10017

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CRD#: 2217478

Professional summary

Louis Vetter, who also goes by Lou Vetter, Louis Paul Vetter, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.

Louis is registered as a RR (Registered Representative) and started their career in finance in 1992. Louis has worked at 17 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 3, Series 7, Series 55, Series 30, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lou Vetter | Louis Paul Vetter

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Vetter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 29, 2025 - Present

ALPACA SECURITIES LLC

Office #1: 12 E 49th St. Floor 11, New York, NY 10017

CRD#: 288202

NEW YORK, NY

Past

August 19, 2024 - November 22, 2024

PERSHING LLC

CRD#: 7560

Lake Mary, FL

Past

August 28, 2019 - March 22, 2024

ROBINHOOD SECURITIES, LLC

CRD#: 287900

LAKE MARY, FL

Past

January 17, 2017 - July 29, 2019

ALLY INVEST SECURITIES LLC

CRD#: 136131

FORT LAUDERDALE, FL

Past

July 27, 2016 - December 7, 2016

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

BOCA RATON, FL

Past

March 25, 2008 - March 2, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

March 24, 2008 - March 2, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

May 6, 2005 - December 6, 2005

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

January 27, 2003 - March 21, 2003

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

February 20, 2002 - October 2, 2002

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

March 15, 2001 - February 20, 2002

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

August 20, 1998 - April 20, 2000

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

July 24, 1998 - February 14, 2001

SOUTHTRUST SECURITIES, LLC

CRD#: 17922

BIRMINGHAM, AL

Past

January 21, 1998 - July 16, 1998

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

February 1, 1994 - January 28, 1997

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

October 7, 1993 - December 20, 1993

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

June 9, 1993 - November 4, 1993

W.J. NOLAN & COMPANY, INC.

CRD#: 16465

NEW YORK, NY

Past

June 26, 1992 - August 19, 1992

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

Past

March 31, 1992 - July 8, 1992

BERKELEY SECURITIES CORPORATION

CRD#: 8397

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(5/5/2025)

New York
(5/8/2025)

Exams

State Security Law Exam

Series 63

Date: 8/18/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/29/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 57TO

Date: 3/30/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/11/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/26/2016

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 2/26/2002

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 30

Date: 12/21/2017

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/24/2017

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

ALPACA SECURITIES LLC

CRD#: 288202 / SEC#: , 8-69928

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

12 E 49th St. Floor 11, New York, NY 10017

Mailing Address

12 E 49th St. Floor 11, New York, NY 10017

Phone number

(941) 231-4093

Established

Delaware since 03/15/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALPACADB, INC.	SOLE MEMBER
DIAZ, ZACHARY LUCIANO	SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER	6027965
DUSSEAULT, DAVID STANLEY	PRESIDENT AND COO	2819891
GARZA, FELIPE	AML COMPLIANCE OFFICER	4613815
LEE, TONY	GLOBAL HEAD OF BROKERAGE	5618563
SAUGSTAD, MONIQUE D	CHIEF COMPLIANCE OFFICER	4127241
TAIFI, MEHDI	CHIEF RISK OFFICER	5977322
WETTERWALD, TAMMY CAO	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP	6113272

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Louis Vetter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Vetter's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSHING LLC

ROBINHOOD SECURITIES, LLC

ALLY INVEST SECURITIES LLC

DAVID LERNER ASSOCIATES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

FIS BROKERAGE & SECURITIES SERVICES LLC

WORLDCO, L.L.C.

WORLDCO, L.L.C.

ESSEX NATIONAL SECURITIES, LLC

IFMG SECURITIES, INC.

SOUTHTRUST SECURITIES, LLC

GRIFFIN FINANCIAL SERVICES

FIDELITY BROKERAGE SERVICES LLC

JOSEPHTHAL & CO., INC.

W.J. NOLAN & COMPANY, INC.

LCP CAPITAL CORP.

BERKELEY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/18/2016

Series 65

Date: 2/29/2008

Series 57TO

Date: 3/30/2019

SIE

Date: 10/1/2018

Series 3

Date: 12/11/2017

Series 7

Date: 7/26/2016

Series 55

Date: 2/26/2002

Series 30

Date: 12/21/2017

Series 24

Date: 9/25/2017

Series 4

Date: 5/24/2017

FINRA

Investors' Exchange LLC

Nasdaq BX, Inc.

Nasdaq Stock Market

Current Firm

ALPACA SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPACA SECURITIES LLC

TRUST BUT VERIFY

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