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Rodney Louis

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CRD#: 2842334
RL

Professional summary

Rodney Louis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rodney is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Rodney had worked at 5 firms, which includes NATIONAL PLANNING CORPORATION, WEISS CAPITAL SECURITIES INC., WAMU INVESTMENTS INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 6, 2001 - November 27, 2001

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

August 25, 2000 - July 24, 2001

WEISS CAPITAL SECURITIES, INC.

BD
CRD#: 39166
JUPITER, FL
Past

May 1, 1998 - October 13, 1998

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

August 28, 1997 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

February 13, 1997 - October 15, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/12/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/1997
General Securities Representative Examination

Current Firm

NP
NATIONAL PLANNING CORPORATION
JACKSON NATIONAL FINANCIAL SERVICES, INC. | NPC OF AMERICA (IN THE STATES OF NEW YORK AND FLORIDA ONLY) | NPC OF AMERICA | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | NATIONAL PLANNING CORPORATION

CRD#: 29604 / SEC#: 801-41015, 8-44435

BD
Terminated by SEC on 09/08/2018
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Contact information

Main Address
12655 W. Jefferson Blvd. Suite 03-173, Los Angeles, CA 90066
Mailing Address
Phone number
Established
Delaware since 11/12/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

TERMINATED - NPC CONSULTING SERVICES AND FINANCIAL PLANNING BROCHURE (3/29/2018)
TERMINATED - NPC FORM ADV PART 2A (3/29/2018)
TERMINATED - ELITE CHOICE RETIREMENT SOLUTIONS DISCLOSURE BROCHURE (3/29/2018)
TERMINATED - NPC WEALTHONE WRAP FEE PROGRAM BROCHURE (3/29/2018)

Direct owners and executive officers

NamePositionCRD#
NATIONAL PLANNING HOLDINGS, INC.SHAREHOLDER
COLEMAN, CAREN LESLIEVICE PRESIDENT4298287
COLLINS, MAURA KATHRYNSVP/CFO- NATIONAL PLANNING HOLDINGS4761732
DOWDEN, STEVEN HOWARDPRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR2666894
GUNDERSON, GERRY ANPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS2448501
HARRIS, BRADLEY OLANDIRECTOR6589930
JOHNSON, JOHN CHARLESPRESIDENT/CEO/DIRECTOR2079852
LAMBRECHTS, VANESSA MARIE RODRIGUEZVP/FINOP CONTROLLER4800775
MARTINEZ, WENDY TAMIESVP OPERATIONS2668422
MCCALLOP, PATRICIA ANNNPH AND NPC SVP CHIEF COMPLIANCE OFFICER5059176
MILLER, JAMES PETERNPH SVP, OPERATIONS1955960
STONE, JEREMY MICHAELVICE PRESIDENT COMPLIANCE5000139

Disclosures

Regulatory Event11
Arbitration6
Bond1

Red Flags

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Company Information

NATIONAL PLANNING CORPORATION

CRD#: 29604

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