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LT

Louis Tomasello

Some features on this profile are disabled
CRD#: 2260987
LT

Professional summary

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

Louis is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Louis had worked at 11 firms, which includes KOVACK SECURITIES INC., LPL FINANCIAL LLC, JACKSON NATIONAL LIFE DISTRIBUTORS LLC, LINCOLN FINANCIAL DISTRIBUTORS INC., NATIONWIDE INVESTMENT SERVICES CORPORATION, ESSEX NATIONAL SECURITIES LLC, FIS SECURITIES INC., CONSECO SECURITIES INC., NEW ENGLAND SECURITIES, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lou Tomasello Iii | Louis Iii Tomasello

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

March 31, 2006 - October 21, 2008

KOVACK SECURITIES INC.

BD
CRD#: 44848
WOBURN, MA
Past

January 24, 2006 - April 3, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
PEABODY, MA
Past

August 8, 2005 - January 27, 2006

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

July 15, 2004 - July 25, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

February 16, 2000 - May 18, 2004

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

January 9, 1998 - December 23, 1999

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

January 2, 1996 - November 7, 1997

FIS SECURITIES, INC.

BD
CRD#: 30533
BOSTON, MA
Past

March 9, 1995 - December 31, 1995

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

March 16, 1993 - August 24, 1994

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

September 14, 1992 - March 12, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

September 14, 1992 - March 12, 1993

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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: 9/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

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

Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event5
Arbitration5

Red Flags

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Company Information

KOVACK SECURITIES INC.

CRD#: 44848

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