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Louis R. Facchini

Some features on this profile are disabled
CRD#: 2372533
LF

Professional summary

Louis Richard Facchini JR was barred by the SEC 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 1993. Prior to being barred, Louis had worked at 5 firms, which includes ANGEL INVESTMENTS LLC, BLUESTONE CAPITAL CORP., FIRST UNITED EQUITIES CORPORATION, A. R. BARON & CO. INC., D. H. BLAIR & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Louis R Facchini | Louis Richard Facchini | Louis Facchini

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

April 15, 1998 - October 14, 1998

ANGEL INVESTMENTS LLC

BD
CRD#: 43863
JUPITER, FL
Past

August 6, 1996 - December 24, 1996

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

September 13, 1995 - July 26, 1996

FIRST UNITED EQUITIES CORPORATION

BD
CRD#: 36398
NEW YORK, NY
Past

February 2, 1994 - October 9, 1995

A. R. BARON & CO., INC.

BD
CRD#: 29285
NEW YORK, NY
Past

September 23, 1993 - February 8, 1994

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
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: 11/29/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/1993
General Securities Representative Examination

Current Firm

AI
ANGEL INVESTMENTS LLC
ANGEL INVESTMENTS LLC

CRD#: 43863 / SEC#: , 8-50448

BD
Terminated by SEC on 04/26/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/25/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GORDON, STEVEN CHARLES MR.SOLE SHARHOLDER/PRESIDENT840677

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ANGEL INVESTMENTS LLC

CRD#: 43863

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