Louis J. Rich
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 J Rich was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1970. Louis had worked at 19 firms and has passed the Series 63, Series 55, Series 1, Series 4 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
January 25, 2011 - March 23, 2012
MONARCH FINANCIAL CORPORATION OF AMERICA
June 8, 2010 - October 7, 2010
WESTROCK ADVISORS, INC.
February 3, 2003 - July 31, 2008
CHICAGO INVESTMENT GROUP, LLC
July 15, 2002 - February 6, 2003
PARKER FINANCIAL CORP.
November 24, 1997 - December 14, 2001
AUERBACH, POLLAK & RICHARDSON INC.
June 28, 1995 - October 29, 1997
KAUFMAN BROS., L.P.
September 9, 1994 - May 5, 1995
WAGNER, STOTT & CO.
July 15, 1993 - August 19, 1994
JOSEPHTHAL & CO., INC.
July 9, 1990 - July 12, 1993
PUNK, ZIEGEL & COMPANY, L.P.
August 25, 1989 - May 11, 1990
MINELLA, RICH & CO., INC.
March 31, 1986 - June 15, 1988
MCKINLEY ALLSOPP, INC.
October 14, 1982 - February 24, 1986
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
April 29, 1982 - October 25, 1982
LEHMAN BROTHERS INC.
February 1, 1979 - January 5, 1982
MOSELEY SECURITIES CORPORATION
July 7, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
April 7, 1976 - August 1, 1983
THE IFB CORPORATION
September 18, 1975 - December 19, 1979
BEDFORD PARTNERS
February 14, 1972 - October 8, 1975
C.B.RICHARD ELLIS & CO.
June 5, 1970 - June 8, 1972
KUHNS BROTHERS & LAIDLAW, INC.
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 55
Date: 11/2/1998
Limited Representative-Equity Trader ExamSeries 1
Date: 5/10/1963
Registered Representative ExaminationCurrent Firm
MONARCH FINANCIAL CORPORATION OF AMERICA
CRD#: 23437 / SEC#: , 8-40433
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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