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LW

Louis J. Walthall

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CRD#: 2856591
LW

Professional summary

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

Louis is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Louis had worked at 3 firms, which includes FOSTER JEFFRIES SECURITIES LLC, INVESTORS ASSOCIATES INC., LEGEND MERCHANT GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lou Whittman

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

September 24, 1997 - February 10, 1998

FOSTER JEFFRIES SECURITIES, LLC

BD
CRD#: 30144
WESTBURY, NY
Past

May 13, 1997 - May 14, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

May 13, 1997 - September 24, 1997

LEGEND MERCHANT GROUP, INC.

BD
CRD#: 5155
NEW YORK, 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
RR
Series 63
Date: 5/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/1997
General Securities Representative Examination

Current Firm

FJ
FOSTER JEFFRIES SECURITIES, LLC
FOSTER JEFFRIES CO., INC. | FOSTER JEFFRIES SECURITIES, LLC | FOSTER JEFFRIES SECURITIES CORP.

CRD#: 30144 / SEC#: , 8-44775

BD
Cancelled by SEC on 09/22/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/05/1997
Firm type
Other Types of Legal Formation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

FOSTER JEFFRIES SECURITIES, LLC

CRD#: 30144

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