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ML

Michael F. Louis

Some features on this profile are disabled
CRD#: 2287160
ML

Professional summary

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

Michael is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Michael had worked at 10 firms, which includes ALLEGIANT SECURITIES L.L.C., TRANSAMERICA FINANCIAL ADVISORS LLC, 1ST DISCOUNT BROKERAGE INC., NEWBRIDGE SECURITIES CORPORATION, HIGH MARK SECURITIES INC., SICOR SECURITIES INC, STERLING FINANCIAL INVESTMENT GROUP INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., NYLIFE SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

May 22, 2006 - December 22, 2010

ALLEGIANT SECURITIES L.L.C.

BD
CRD#: 133912
MIAMI, FL
Past

February 22, 2005 - May 12, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

June 21, 2004 - February 1, 2005

1ST DISCOUNT BROKERAGE, INC.

BD
CRD#: 39164
LAKE WORTH, FL
Past

May 21, 2003 - June 22, 2004

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

February 15, 2001 - May 28, 2003

HIGH MARK SECURITIES, INC.

BD
CRD#: 42467
LAKELAND, FL
Past

November 3, 2000 - February 16, 2001

SICOR SECURITIES INC

BD
CRD#: 16195
DAYTON, OH
Past

November 16, 1999 - February 16, 2000

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

June 23, 1994 - November 19, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

June 22, 1994 - November 19, 1999

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

January 19, 1993 - June 9, 1994

NYLIFE SECURITIES LLC

BD
CRD#: 5167
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: 12/28/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 1/15/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AS
ALLEGIANT SECURITIES L.L.C.
ALLEGIANT SECURITIES L.L.C.

CRD#: 133912 / SEC#: , 8-66795

BD
Cancelled by SEC on 07/25/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLEGIANT FINANCIAL INC.OWNER/MEMBER
ADAMS, MARTY LUCASVICE PRESIDENT/COMPLIANCE OFFICER4714047
FLANAGAN, DENNIS JRPRESIDENT/CFO/FINOP/CCO4199469
LLANES, DELVISVICE PRESIDENT/COMPLIANCE OFFICER5574236

Disclosures

Regulatory Event1

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

ALLEGIANT SECURITIES L.L.C.

CRD#: 133912

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