Louis R. Miceli
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 Robert Miceli was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1992. Louis had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - December 8, 2025
SOUTHEAST INVESTMENTS, N.C., INC.
October 1, 2002 - October 7, 2011
KOVACK SECURITIES INC.
January 2, 1998 - October 22, 2002
FIRST MONTAUK SECURITIES CORP.
February 20, 1996 - December 31, 1997
WALNUT STREET SECURITIES, INC.
April 15, 1992 - February 27, 1996
INVESTACORP, 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
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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