Louis M. Kornman
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 Maurice Kornman, who also goes by Louis M Kornman, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1970. Louis had worked at 7 firms and has passed the Series 63, Series 000, Series 4, Series 8 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
October 14, 1991 - September 13, 2002
PRENTICE SECURITIES, INCORPORATED
September 26, 1991 - April 8, 1992
H G I
October 3, 1988 - October 16, 1991
DOMINICK & DICKERMAN LLC
October 13, 1987 - September 6, 1989
BOWLES FINANCIAL GROUP, INC.
July 22, 1981 - October 3, 1988
DOMIK CORP.
July 3, 1973 - June 17, 1981
FREDERICK & COMPANY, INC.
July 10, 1970 - November 28, 1972
FIRST MIDWEST INVESTMENT 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
Series 000
Date: 1/12/1953
General Securities Principal ExaminationSeries 8
Date: 1/15/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 12/15/1978
Registered Principal ExaminationCurrent Firm
PRENTICE SECURITIES, INCORPORATED
CRD#: 22897 / SEC#: , 8-40036
Contact information
Documents
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 | 6 |
| Arbitration | 6 |
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.
