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Michael Norman Loukas

CRD# 2707992·Registered 1996 - 2017
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Norman Loukas was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1996 - 2017. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

WAVEFRONT CAPITAL·CRD# 168746
RIA
San Francisco, CA
April 4, 2014 - October 11, 2017
TNP SECURITIES, LLC·CRD# 149178
BD
Walnut Creek, CA
July 9, 2009 - November 17, 2010
CABIN SECURITIES, INC.·CRD# 137608
BD
Walnut Creek, CA
January 13, 2009 - December 31, 2009
ATLAS CLEARING, INC.·CRD# 3777
BD
Salt Lake City, UT
September 4, 2008 - December 31, 2008
SECURITY DISTRIBUTORS·CRD# 3336
BD
Topeka, KS
September 12, 2007 - July 28, 2008
KELMOORE INVESTMENT COMPANY, INC.·CRD# 22509
RIA
Palo Alto, CA
May 16, 2005 - September 26, 2005
KELMOORE INVESTMENT COMPANY, INC.·CRD# 22509
BD
Palo Alto, CA
December 2, 1999 - September 26, 2005
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
January 6, 1998 - December 13, 1999
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
December 1, 1997 - February 4, 1998
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
March 19, 1996 - May 29, 1997

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Current Firm

WC
WAVEFRONT CAPITAL

WAVEFRONT CAPITAL | WAVEFRONT CAPITAL MANAGEMENT, LP | WAVEFRONT CAPITAL MANAGEMENT, LLC

CRD#: 168746 / SEC#: 801-81070

Contact Information

Main Address

101 California St. Suite 2710, San Francisco, CA 94111

Documents

Latest Form ADV

Part 2 Brochures

WFCM FORM ADV 2 JANUARY 2017 (2/6/2017)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2014About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1996About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Apr 1996About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Mar 1996About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Aug 2004About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Mar 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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