Louis J. Sperazza
Professional summary
Louis J. Sperazza, who also goes by Lou Sperazza, Louis John Sperazza Jr, Louis John Sperazza, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.
Louis is registered as a RR (Registered Representative) and started their career in finance in 1993. Louis has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Louis J. Sperazza's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 22, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310June 6, 2017 - September 23, 2019
E*TRADE SECURITIES LLC
July 2, 2012 - December 13, 2016
VIRTU AMERICAS LLC
August 17, 2005 - December 31, 2010
KNIGHT CAPITAL MARKETS LLC
January 12, 2000 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
June 26, 1997 - January 5, 2000
NATIONAL INVESTOR SERVICES CORP.
September 21, 1993 - December 5, 1997
TD AMERITRADE, INC.
August 23, 1993 - August 30, 1993
JOSEPHTHAL & CO., INC.
May 13, 1993 - August 31, 1993
HANOVER, STERLING & COMPANY LTD.
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 55
Date: 5/27/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 7/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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