Louis M. Rosenhouse
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 Minton Rosenhouse, who also goes by L Minton Rosenhouse, Minton Rosenhouse, Minty Rosenhouse, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2000. Louis had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2014 - March 3, 2017
AVANTAX INVESTMENT SERVICES, INC.
October 13, 2014 - March 3, 2017
AVANTAX ADVISORY SERVICES
October 25, 2010 - October 31, 2014
KESTRA INVESTMENT SERVICES, LLC
October 21, 2010 - October 30, 2012
KESTRA INVESTMENT SERVICES, LLC
May 20, 2004 - June 23, 2008
MML INVESTORS SERVICES, LLC
April 19, 2004 - June 23, 2008
MML INVESTORS SERVICES, LLC
February 11, 2003 - January 26, 2004
OSAIC FA, INC.
February 11, 2003 - January 26, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 11, 2003 - January 26, 2004
OSAIC FA, INC.
August 31, 2001 - November 29, 2002
MUTUAL SERVICE CORPORATION
February 24, 2000 - August 31, 2001
FSC SECURITIES CORPORATION
January 1, 2000 - December 20, 2002
TRUSTEE EMPOWERMENT & PROTECTION, 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
Current Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
