Louis J. Sozio
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 Joseph Sozio was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2000. Louis had worked at 1 firm and has passed the Series 7 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
July 6, 2000 - January 27, 2003
EAST COAST CONSULTANTS, 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
EAST COAST CONSULTANTS, INC.
CRD#: 38380 / SEC#: , 8-48205
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOZIO, LOUIS, JOSEPH | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | |
| ROMAN, DOUGLAS JAMES | EXECUTIVE OFFICER | 1549538 |
Red Flags
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