Paul V. Louie
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.
Paul Van Louie was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1996. Paul had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2010 - December 31, 2015
ALPS DISTRIBUTORS, INC.
June 10, 2008 - January 5, 2016
RIVERFRONT INVESTMENT GROUP, LLC
October 1, 1999 - June 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - June 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 24, 1996 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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