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LM

Louis W. Moreland

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CRD#: 339699
LM

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 Wellington Moreland JR, who also goes by Lou Moreland Jr, was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 1971. Louis had worked at 11 firms and has passed the Series 63, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lou Moreland Jr

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

October 20, 1994 - June 10, 1999

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

October 31, 1991 - January 7, 1994

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

March 25, 1991 - November 1, 1991

FINANCIAL SECURITIES NETWORK,INC.

BD
CRD#: 16153
Past

October 12, 1990 - December 31, 1990

MONARCH SECURITIES, INC.

BD
CRD#: 2809
Past

June 16, 1978 - October 17, 1988

LPL FINANCIAL LLC

BD
CRD#: 6413
Past

February 9, 1977 - July 22, 1978

INVESTOGENIC SERVICES, INC.

BD
CRD#: 4076
Past

May 27, 1976 - March 18, 1977

CAPITAL CONCEPTS INVESTMENT CORP.

BD
CRD#: 7115
Past

May 30, 1974 - June 21, 1976

AMERICAN CONSOLIDATED SECURITIES CORP.

BD
CRD#: 338
Past

June 22, 1973 - June 20, 1974

FIVE/THREE SECURITIES CORPORATION

BD
CRD#: 6475
Past

September 8, 1971 - January 15, 1972

FML FUNDS DISTRIBUTION COMPANY

BD
CRD#: 1777
Past

July 27, 1971 - July 14, 1973

C. A. MANAGEMENT CORPORATION

BD
CRD#: 136

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: 11/8/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 7/22/1971
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 6/29/1978
Registered Principal Examination

Current Firm

AI
AMERICAN INVESTMENT SERVICES, INC.
AMERICAN INVESTMENT SERVICES, INC. | AMERICAN INVESTMNET SERVICES, INC.

CRD#: 21111 / SEC#: , 8-38685

BD
Terminated by SEC on 08/31/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 09/20/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AISCO HOLDINGS, INC.SHAREHOLDER
NATIONAL CAPITAL COMPANIESSHAREHOLDER
CERBONE, JOSEPH ANTHONYPRESIDENT43833
USELTON, DARREL THOMASCHAIRMAN OF THE BOARD2051430
USELTON, MARK ALANMANAGER/DIRECTOR2229571

Disclosures

Regulatory Event22
Civil Event1
Arbitration14

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

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

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