Louis J. Carr
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 James Carr JR was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1966. Louis had worked at 4 firms and has passed the Series 63, PC, Series 41 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
June 25, 1975 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
June 24, 1975 - June 6, 2000
MORGAN STANLEY & CO. LLC
March 8, 1972 - June 22, 1975
LEHMAN BROTHERS INCORPORATED
August 1, 1966 - March 23, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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
PC
Date: 2/1/1979
AMEX Put and Call ExamSeries 41
Date: 7/29/1976
NYSE Allied Member ExaminationSeries 1
Date: 7/29/1966
Registered Representative ExaminationCurrent firm
No current employment
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.
