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LB

Louis M. Blazer

Some features on this profile are disabled
CRD#: 2240733
LB

Professional summary

Louis Martin Blazer III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Louis is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Louis had worked at 6 firms, which includes APW CAPITAL INC., BLAZER INVESTMENT ADVISORS LLC, CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, HIBBARD BROWN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

"marty" Blazer | Louis Martin Blazer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 10, 2010 - March 23, 2012

APW CAPITAL, INC.

BD
CRD#: 43814
TOTOWA, NJ
Past

March 17, 2009 - March 29, 2012

BLAZER INVESTMENT ADVISORS, LLC

RIA
CRD#: 147151
PITTSBURGH, PA
Past

November 17, 1995 - January 23, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
PITTSBURGH, PA
Past

November 15, 1995 - November 21, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 12, 1992 - November 20, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 17, 1992 - December 8, 1992

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/28/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1992
General Securities Representative Examination

Current Firm

AC
APW CAPITAL, INC.
APW CAPITAL, INC. | COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC.

CRD#: 43814 / SEC#: , 8-50433

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Mailing Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Phone number
(973) 394-0404
Established
New Jersey since 07/03/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SMITH, TIMOTHY LIAMPRESIDENT & FINOP1407004
JENNINGS, CHRISTINASHAREHOLDER4360546
COUTANT, TONYA MARIECHIEF COMPLIANCE OFFICER4585494
JENNINGS, SEANSHAREHOLDER

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

APW CAPITAL, INC.

CRD#: 43814

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