Louis C. Werner
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 Charles Werner III 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 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 1996 - December 18, 1997
ACUMENT SECURITIES, INC.
April 22, 1994 - June 21, 1994
MCLAUGHLIN CAPITAL MARKETS, INC.
February 9, 1994 - March 11, 1994
GLOBAL STRATEGIES GROUP, INC.
January 15, 1993 - January 31, 1994
EXPANSION CAPITAL SECURITIES
July 16, 1992 - January 6, 1993
REYNOLDS KENDRICK STRATTON, 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
ACUMENT SECURITIES, INC.
CRD#: 7661 / SEC#: , 8-22999
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
