Louis Maurice Kornman
Professional Summary
Louis Maurice Kornman, who also goes by Louis M Kornman, was a registered financial advisor. Louis was a previously registered financial professional and started their career in finance 1970 - 2002. Louis had worked at 7 firms and has passed the Series 63, Series 000, Series 4, Series 8 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Louis M Kornman
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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
73 years in the financial services industry
Current & Past Employments
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Current Firm
PRENTICE - DOMINICK SECURITIES, INC. | SJV SECURITIES, INC. | PRENTICE SECURITIES, INCORPORATED | PRENTICE SECURITIES INC.
Contact Information
Established
New York since 06/30/1988Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIERNEY, MICHAEL EDWARD | PRESIDENT/CEO/DIRECTOR | 804928 |
| MULLINS, NANCY | SHAREHOLDER | 342604 |
| DOMINICK & DOMINICK, INCORPORATED | SHAREHOLDER | — |
| AVALON INVESTMENT ASSOCIATES INC | SHAREHOLDER | — |
| BALUYO, CATHERINE ANN | SECRETARY | 2188043 |
| BOSWELL, JOHN DOUGLAS | SHAREHOLDER/COMPLIANCE DIR/CFO | 1031653 |
| BURKE, BARBARA JANE | SHAREHOLDER | 1242140 |
Disclosures
Regulatory Event
6Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 000 — General Securities Principal Examination
Passed Jan 1953Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jan 1985Series 40 — Registered Principal Examination
Passed Dec 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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