Louis F. Sill
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 Francis Sill was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1969. Louis had worked at 17 firms and has passed the Series 63, SIE, Series 7, PC, Series 000, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2014 - August 18, 2015
NEW RYE SECURITIES, LLC
April 11, 2006 - January 3, 2007
GILFORD SECURITIES INCORPORATED
September 29, 2003 - May 6, 2004
AVIAN SECURITIES, LLC
April 4, 2003 - September 3, 2003
WESTROCK ADVISORS, INC.
August 2, 2001 - March 4, 2002
FULCRUM GLOBAL PARTNERS LLC
August 1, 2000 - March 6, 2001
ABN AMRO SECURITIES LLC
March 17, 1999 - August 8, 2000
INVESTEC INC.
May 26, 1998 - March 8, 1999
AUERBACH, POLLAK & RICHARDSON INC.
April 18, 1997 - July 8, 1997
RODMAN & RENSHAW INC.
May 12, 1995 - April 8, 1997
PUNK, ZIEGEL & COMPANY, L.P.
May 20, 1993 - May 19, 1995
WELLS FARGO CLEARING SERVICES, LLC
January 16, 1986 - May 21, 1993
ALEX. BROWN & SONS INCORPORATED
April 8, 1982 - January 1, 1986
PERSHING LLC
August 31, 1979 - March 17, 1982
BECKER PARIBAS INCORPORATED
September 26, 1978 - September 19, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
June 9, 1969 - January 15, 1975
WHITE, WELD & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 3/1/1977
AMEX Put and Call ExamSeries 000
Date: 6/2/1969
General Securities Principal ExaminationSeries 1
Date: 6/2/1969
Registered Representative ExaminationSeries 8
Date: 6/30/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 7/26/1971
Registered Principal ExaminationCurrent Firm
NEW RYE SECURITIES, LLC
CRD#: 165400 / SEC#: , 8-69159
Contact information
Documents
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