Louis M. Nolfo

Some features on this profile are disabled

CRD#: 2439250

Professional summary

Louis Michael Nolfo 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 1994. Prior to being barred, Louis had worked at 12 firms, which includes GUNNALLEN FINANCIAL INC, CAPITAL GROWTH FINANCIAL LLC, STERLING FINANCIAL INVESTMENT GROUP INC., GLOBAL FINANCIAL GROUP INC., THE HAMILTON-SHEA GROUP INC., LANDMARK INTERNATIONAL EQUITIES, INVESTORS ASSOCIATES INC., MEYERS POLLOCK ROBBINS INC., THE HERITAGE GROUP INC., A. R. BARON & CO. INC., HANOVER STERLING & COMPANY LTD., D. H. BLAIR & CO. INC..

Question & Answer

Are you a "fiduciary"?

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

January 20, 2003 - July 24, 2006

GUNNALLEN FINANCIAL, INC

CRD#: 17609

FT. LAUDERDALE, FL

Past

August 2, 2001 - January 17, 2003

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

BOCA RATON, FL

Past

April 30, 2001 - August 3, 2001

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

BOCA RATON, FL

Past

June 23, 1997 - May 2, 2001

GLOBAL FINANCIAL GROUP, INC.

CRD#: 23958

MINNEAPOLIS, MN

Past

January 7, 1997 - June 26, 1997

THE HAMILTON-SHEA GROUP, INC.

CRD#: 37526

POMPANO BEACH, FL

Past

October 23, 1996 - April 21, 1997

LANDMARK INTERNATIONAL EQUITIES

CRD#: 25098

WESTBURY, NY

Past

May 28, 1996 - October 23, 1996

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

February 8, 1996 - June 8, 1996

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

NEW YORK, NY

Past

August 29, 1995 - March 18, 1996

THE HERITAGE GROUP, INC.

CRD#: 24906

SAN FRANCISCO, CA

Past

May 18, 1995 - January 22, 1996

A. R. BARON & CO., INC.

CRD#: 29285

NEW YORK, NY

Past

October 5, 1994 - May 3, 1995

HANOVER, STERLING & COMPANY LTD.

CRD#: 15491

NEW YORK, NY

Past

June 7, 1994 - October 18, 1994

A. R. BARON & CO., INC.

CRD#: 29285

NEW YORK, NY

Past

February 18, 1994 - June 3, 1994

D. H. BLAIR & CO., INC.

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

Series 63

Date: 6/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/17/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/9/2004

General Securities Principal Examination

Current Firm

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

Terminated by SEC on 06/11/2010

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 01/15/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GUNNALLEN HOLDINGS, INC.	SHAREHOLDER
DANIELS, KEVIN CHRISTIAN	EVP OF TRADING, CHIEF COMPLIANCE OFFICER	2041956
KRAUS, FREDERICK OSCAR JR	PRESIDENT, CFO, FINOP	1393886

Disclosures

Regulatory Event	17
Arbitration	13

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Louis M. Nolfo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL GROWTH FINANCIAL, LLC

STERLING FINANCIAL INVESTMENT GROUP, INC.

GLOBAL FINANCIAL GROUP, INC.

THE HAMILTON-SHEA GROUP, INC.

LANDMARK INTERNATIONAL EQUITIES

INVESTORS ASSOCIATES, INC.

MEYERS POLLOCK ROBBINS, INC.

THE HERITAGE GROUP, INC.

A. R. BARON & CO., INC.

HANOVER, STERLING & COMPANY LTD.

A. R. BARON & CO., INC.

D. H. BLAIR & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/14/1994

Series 7

Date: 2/17/1994

Series 24

Date: 2/9/2004

Current Firm

GUNNALLEN FINANCIAL, INC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUNNALLEN FINANCIAL, INC

TRUST BUT VERIFY

Similar Advisors