Louis L. Evaga
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 Loimata Evaga, who also goes by Louis Evaga, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2000. Louis had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2024 - February 3, 2025
CAPFINANCIAL SECURITIES, LLC.
February 2, 2018 - August 27, 2020
MORGAN STANLEY
September 25, 2015 - August 9, 2017
FIDELITY BROKERAGE SERVICES LLC
December 3, 2014 - September 14, 2015
MORGAN STANLEY
November 7, 2014 - September 14, 2015
MORGAN STANLEY
November 4, 2005 - November 4, 2014
SCOTTRADE, INC.
September 14, 2000 - November 4, 2005
HARRISDIRECT LLC
May 4, 2000 - June 30, 2000
FIDELITY BROKERAGE SERVICES LLC
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 7TO
Date: 1/20/2024
General Securities Representative ExaminationSeries 99TO
Date: 1/20/2024
Operations Professional ExaminationCurrent Firm
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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