Louis A. Petralia
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 Anthony Petralia was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1969. Louis had worked at 14 firms and has passed the Series 63, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 1992 - October 21, 1992
DEUTSCHE IXE, LLC
January 23, 1989 - October 17, 1991
JANNEY MONTGOMERY SCOTT LLC
February 29, 1988 - January 25, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 22, 1982 - April 14, 1988
E. F. HUTTON & COMPANY INC
March 12, 1981 - March 9, 1982
THOMSON MCKINNON SECURITIES INC.
January 31, 1980 - March 10, 1981
UBS FINANCIAL SERVICES INC.
July 2, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 2, 1978 - July 15, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 20, 1974 - July 16, 1979
ADVEST, INC.
June 1, 1972 - May 30, 1973
WEIS SECURITIES, INC.
February 1, 1972 - June 30, 1972
EDWARDS & HANLY
February 1, 1971 - May 21, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 23, 1970 - April 26, 1971
GOODBODY & CO. INCORPORATED
May 22, 1969 - April 5, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
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: 8/20/1960
Registered Representative ExaminationSeries 40
Date: 5/12/1969
Registered Principal ExaminationSeries 12
Date: 12/23/1966
NYSE Branch Manager ExaminationCurrent Firm
DEUTSCHE IXE, LLC
CRD#: 7172 / SEC#: , 8-13967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IXE SECURITIES, INC. | MEMBER | |
| NDB CAPITAL MARKETS CORPORATION | MEMBER | |
| DE SAN, PATRICK | CHIEF COMPLIANCE OFFICER | 2371051 |
| DE SAN, PATRICK | CHIEF FINANCIAL OFFICER/FINOP | 2371051 |
| DERHALLI, KERIM RICHARD | MANAGER | 2187407 |
| HOPE, RUPERT DICKIE | MANAGER | 2598323 |
| HORCASITAS, JAVIER MOLINAR | MANAGER | 4678281 |
| NARANJO, MAURICIO | MANAGER | 5070130 |
| PONS, JOSE IGNACIO DE ABIEGA | MANAGER | 4678290 |
| SANCHEZ-MEJORADA, ENRIQUE CASTILLO | MANAGER | 4678285 |
Disclosures
| Regulatory Event | 32 |
| 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.
