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ML

Michael J. Louis

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CRD#: 2916731
ML

Professional summary

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

Michael is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Michael had worked at 4 firms, which includes S.G. MARTIN SECURITIES LLC, AMERICAN INVESTMENT SERVICES INC., CREATIVE CAPITAL MANAGEMENT CORPORATION, MEYERS POLLOCK ROBBINS 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

January 8, 2002 - November 6, 2003

S.G. MARTIN SECURITIES LLC

BD
CRD#: 46908
JERICHO, NY
Past

September 10, 1999 - December 31, 2001

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

March 26, 1998 - September 7, 1999

CREATIVE CAPITAL MANAGEMENT CORPORATION

BD
CRD#: 11145
CLEVELAND, OH
Past

July 18, 1997 - April 6, 1998

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
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: 7/23/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1997
General Securities Representative Examination

Current Firm

SM
S.G. MARTIN SECURITIES LLC
S.G. MARTIN SECURITIES LLC

CRD#: 46908 / SEC#: , 8-51583

BD
Terminated by SEC on 04/22/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/25/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PANTELAKIS, EMANUELNONE
WESTWIND HOLDING LLCOWNER

Disclosures

Regulatory Event4
Arbitration2

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

S.G. MARTIN SECURITIES LLC

CRD#: 46908

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