Louis F. Puglisi
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 Frank Puglisi was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1998. Louis had worked at 11 firms and has passed the Series 63, Series 55, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - July 13, 2012
WALL STREET ACCESS
December 3, 2010 - February 18, 2011
TD ARRANGED SERVICES LLC
March 16, 2006 - December 9, 2010
LABRANCHE FINANCIAL SERVICES, LLC
March 9, 2005 - April 3, 2006
ELECTRONIC GLOBAL SECURITIES, INC.
March 4, 2004 - March 4, 2005
HD BROUS & CO., INC.
December 3, 2003 - March 17, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
September 11, 2003 - December 2, 2003
MILLENNIUM BROKERAGE, L.L.C.
July 21, 2003 - September 10, 2003
A.B. WATLEY, INC.
November 19, 1999 - December 9, 2002
APEX CLEARING CORPORATION
May 12, 1998 - October 29, 1999
METROPOLITAN LIFE INSURANCE COMPANY
May 12, 1998 - October 29, 1999
MSI FINANCIAL SERVICES, INC.
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 55
Date: 12/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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