Jules A. Lorio
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.
Jules Achilles Lorio III, who also goes by Jules Achilles Lorio, was a registered financial professional .
Jules is a previously registered financial professional and started their career in finance in 1973. Jules had worked at 10 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2013 - June 21, 2016
HANCOCK WHITNEY INVESTMENT SERVICES INC.
January 5, 2006 - July 18, 2012
CAPITAL ONE SECURITIES, INC.
September 28, 2004 - April 1, 2005
PAN-AMERICAN INVESTMENT ADVISERS, INC.
February 16, 2001 - November 30, 2005
PAN-AMERICAN FINANCIAL ADVISERS
August 3, 1998 - February 16, 2001
BANC ONE SECURITIES CORPORATION
March 3, 1997 - October 2, 1998
MARQUIS INVESTMENTS, L.L.C.
February 26, 1993 - March 3, 1997
LASALLE ST SECURITIES, L.L.C.
January 1, 1987 - May 28, 1991
MARQUIS INVESTMENTS, L.L.C.
November 8, 1978 - March 13, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 1974 - December 9, 1978
E. F. HUTTON & COMPANY INC
August 1, 1973 - March 28, 1974
DUPONT WALSTON, INCORPORATED
Primary Firm SEC Registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
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 1
Date: 7/24/1973
Registered Representative ExaminationCurrent Firm
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
