Louis J. Karcher
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.
Louis John Karcher was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1967. Louis had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 1, Series 27, Series 8, Series 14, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2004 - February 7, 2012
ARITAS SECURITIES LLC
April 18, 2000 - April 18, 2006
MFR SECURITIES, INC.
September 20, 1995 - January 20, 1998
VAN DER MOOLEN SPECIALISTS USA, LLC
July 10, 1985 - December 24, 1986
FINANCIAL CLEARING & SERVICES CORPORATION
March 9, 1983 - July 6, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 1976 - November 2, 1982
SALOMON BROTHERS INC.
December 5, 1967 - November 9, 1975
AUERBACH POLLAK AND RICHARDSON INC
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: 12/20/2004
Limited Representative-Equity Trader ExamSeries 1
Date: 12/4/1967
Registered Representative ExaminationSeries 8
Date: 2/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 7/21/1975
Registered Principal ExaminationCurrent Firm
ARITAS SECURITIES LLC
CRD#: 128453 / SEC#: , 8-66136
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
