Louis A. Carmichael
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 Allen Carmichael was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1974. Louis had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 53, Series 24, Series 4 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
November 22, 2002 - October 24, 2006
NANCY BARRON & ASSOCIATES, INC.
November 15, 2000 - November 19, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
November 28, 1998 - December 1, 2000
A. G. EDWARDS & SONS, INC.
December 12, 1994 - December 17, 1998
J.C. BRADFORD & CO.
August 6, 1981 - December 20, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - August 14, 1981
UBS FINANCIAL SERVICES INC.
February 27, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 2, 1974 - February 17, 1978
KIDDER, PEABODY & 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 15
Date: 2/13/1986
Foreign Currency Options ExaminationSeries 5
Date: 6/29/1983
Interest Rate Options ExaminationPC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 6/27/1974
Registered Representative ExaminationSeries 12
Date: 9/19/1981
NYSE Branch Manager ExaminationCurrent Firm
NANCY BARRON & ASSOCIATES, INC.
CRD#: 30201 / SEC#: , 8-44803
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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