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LC

Louis C. Ceparano

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CRD#: 2624648
LC

Professional summary

Louis Ceasar Ceparano 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 1995. Prior to being barred, Louis had worked at 6 firms, which includes WOODSTOCK FINANCIAL GROUP INC., CLARK STREET CAPITAL INC., ROYAL HUTTON SECURITIES CORP., CENTEX SECURITIES INCORPORATED, TOLUCA PACIFIC SECURITIES CORP., ROYCE INVESTMENT GROUP INC..

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

February 11, 2002 - February 27, 2003

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

May 7, 2001 - June 8, 2001

CLARK STREET CAPITAL, INC.

BD
CRD#: 38304
LEVITTOWN, NY
Past

October 26, 1998 - May 9, 2001

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

January 7, 1998 - November 3, 1998

CENTEX SECURITIES, INCORPORATED

BD
CRD#: 18493
LA JOLLA, CA
Past

October 3, 1996 - December 15, 1997

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

April 15, 1996 - October 16, 1996

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

June 15, 1995 - May 10, 1996

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, 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: 6/21/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 10/13/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/14/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/24/2002
General Securities Principal Examination

Current Firm

WF
WOODSTOCK FINANCIAL GROUP, INC.
ASSET MARKETING STRATEGIES,LLC | WOODSTOCK FINANCIAL GROUP, INC. | WINSTON COOPER INC. | WILLIAMS ADVISORY GROUP, LLC | WIENIEWITZ FINANCIAL | VERITAS FINANCIAL GROUP | TOMOLONIS FINANCIAL, LLC | ROOT FINANCIAL SERVICES | ROBERTS WEALTH MANAGEMENT | RETIREMENT SOLUTIONS OF GA | REINHARDT CONSULTING GROUP | RAIKE FINANCIAL GROUP INC. | RAIKE FINANCIAL GROUP | LOTUS POSITIONS, LLC | LAKE WYLIE FINANCIAL, LLC | GLASGOW FINANCIAL SERVICES | FIRST CHOICE FINANCIAL GROUP | FESSLER FINANCIAL GROUP | FESSLER FINANCIAL | F.I.T. FINANCIAL | EDGEWOOD FINANCIAL | DRESSLER FINANCIAL SERVICES, INC. | DRAWDY FINANCIAL SERVICES, LLC | COVENANT WEALTH MANAGEMENT | CORE FINANCIAL | CBG FINANCIAL INC. | BRUCKNER FINANCIAL GROUP | BRANCA FINANCIAL GROUP | BOND FINANCIAL SERVICES

CRD#: 38095 / SEC#: 801-65881, 8-48080

BD
Terminated by SEC on 02/10/2020
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Contact information

Main Address
117 Towne Lake Parkway Suite 200, Woodstock, GA 30188
Mailing Address
Phone number
Established
Georgia since 04/28/2009
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 29, 2018 (3/30/2018)

Direct owners and executive officers

NamePositionCRD#
WOODSTOCK HOLDINGS INCHOLDING COMPANY
BRANCA, ANTHONY DOUGLASCHIEF COMPLIANCE OFFICER OF BD1178639
BRANCA, ANTHONY DOUGLASCHIEF OPERATING OFFICER1178639
RAIKE, WILLIAM JASPER IIICHIEF COMPLIANCE OFFICER - RIA1502298
RAIKE, WILLIAM JASPER IIIPRESIDENT / CEO1502298
RAIKE, WILLIAM JASPER IIIROSFP1502298
WHITLEY, MELISSA LYNNCHIEF FINANCIAL OFFICER / FINOP2615710

Disclosures

Regulatory Event6
Arbitration7

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

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

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