Louis J. Posner
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 Jon Posner, who also goes by Lou Posner, Louie Posner, Louis Posner, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1993. Louis had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2009 - March 19, 2015
SUMMER STREET RESEARCH PARTNERS
February 1, 2007 - December 31, 2007
NILE CAPITAL, LLC
February 9, 2005 - March 15, 2005
LEGACY TRADING CO., LLC
January 17, 2003 - February 18, 2003
SOUTHRIDGE INVESTMENT GROUP LLC
November 3, 2000 - January 3, 2001
A. G. EDWARDS & SONS, INC.
February 17, 1998 - November 9, 2000
GRUNTAL & CO., L.L.C.
May 7, 1993 - February 23, 1998
DETWILER FENTON & CO.
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
SUMMER STREET RESEARCH PARTNERS
CRD#: 127142 / SEC#: , 8-65958
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
