Louis A. Paoletti
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 Albert Paoletti was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1973. Louis had worked at 6 firms and has passed the Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 1998 - April 23, 2003
NF CLEARING, INC.
February 23, 1979 - March 26, 1979
MOSELEY SECURITIES CORPORATION
February 2, 1979 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
August 2, 1977 - February 23, 1979
WEEDEN & CO.
March 18, 1974 - December 12, 1988
BUTCHER & SINGER INC.
December 14, 1973 - June 5, 1977
ELKINS & CO.
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 000
Date: 3/18/1974
General Securities Principal ExaminationSeries 1
Date: 12/10/1973
Registered Representative ExaminationCurrent Firm
NF CLEARING, INC.
CRD#: 14285 / SEC#: , 8-30453
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 1 |
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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