Louis J. Gore
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 Jung Shaw Gore, who also goes by Louis Jung Gore, Loui Hingshaw, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1970. Louis had worked at 14 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2008 - July 8, 2015
WEDBUSH SECURITIES INC.
December 3, 2002 - December 31, 2007
1ST DISCOUNT BROKERAGE, INC.
March 22, 2001 - November 21, 2002
MORGAN STANLEY DW INC.
December 22, 2000 - November 21, 2002
MORGAN STANLEY DW INC.
December 6, 1996 - January 11, 2001
UBS FINANCIAL SERVICES INC.
September 4, 1990 - November 8, 1996
WELLS FARGO CLEARING SERVICES, LLC
May 11, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 1, 1982 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
March 13, 1980 - October 19, 1982
PERSHING LLC
June 7, 1976 - February 25, 1980
J.P. MORGAN SECURITIES LLC
November 21, 1974 - July 3, 1976
REYNOLDS SECURITIES, INC.
July 8, 1974 - December 20, 1974
THOMSON MCKINNON AUCHINCLOSS KOHLMEYR INC
April 4, 1974 - August 19, 1975
W. E. HUTTON & CO.
November 28, 1972 - April 27, 1974
DUPONT WALSTON, INCORPORATED
November 1, 1970 - October 27, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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 1
Date: 3/25/1968
Registered Representative ExaminationCurrent Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 10/28/2024 | ||
| 04/26/2024 |
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.
