Louis W. Moreland
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 1994 - June 10, 1999
AMERICAN INVESTMENT SERVICES, INC.
October 31, 1991 - January 7, 1994
WALNUT STREET SECURITIES, INC.
March 25, 1991 - November 1, 1991
FINANCIAL SECURITIES NETWORK,INC.
October 12, 1990 - December 31, 1990
MONARCH SECURITIES, INC.
June 16, 1978 - October 17, 1988
LPL FINANCIAL LLC
February 9, 1977 - July 22, 1978
INVESTOGENIC SERVICES, INC.
May 27, 1976 - March 18, 1977
CAPITAL CONCEPTS INVESTMENT CORP.
May 30, 1974 - June 21, 1976
AMERICAN CONSOLIDATED SECURITIES CORP.
June 22, 1973 - June 20, 1974
FIVE/THREE SECURITIES CORPORATION
September 8, 1971 - January 15, 1972
FML FUNDS DISTRIBUTION COMPANY
July 27, 1971 - July 14, 1973
C. A. MANAGEMENT CORPORATION
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: 7/22/1971
Registered Representative ExaminationSeries 40
Date: 6/29/1978
Registered Principal ExaminationCurrent Firm
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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