LG
Louis Gloria
PROCYON
Shelton, CT 06484
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CRD#: 4414579
LG
Professional summary
Louis Gloria, who also goes by Louis Gloria Jr., Louis Gloria Jr., is a registered financial advisor currently at PROCYON located in Shelton, Connecticut.
Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Louis has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Louis Gloria Jr. | Louis Gloria Jr.
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Highland Capital. Not Investment Related. One Farm Glen Boulevard, Farmington, CT 06032. Fixed Insurance. Agent. 06/2017. 5-10 Hrs/Mo; All During Trading Hours. Potentially Continuing to Utilize Highland Capital as an Agent in Providing Insurance Solutions to our Private Clients. 2. FSG LLP. Non-Investment Related. 1520 Carlemont Drive. Insurance Sales. Start 1/2021. 2hrs/mo, during trading hours. Clients insurance needs. 3. Procyon Risk, LLC. Not investment related. Office of Employment Address. Insurance Agency. Managing Director/Owner. 1/1/2023. 5 hrs/mo. 0 hrs during trading, An an owner/partner, I will oversee insurance producers who work for Procyon Risk and will assist in directing their engagement w/ clients. I will also have responsibility for managing the enterprise as a principal of the firm. 4. Procyon Tax, LLC. Not investment related. Office of Employment Address. Insurance Agency. Managing Director/Owner. 1/1/2023. 5 hrs/mo. 0 hrs during trading. As an owner/partner and principal in the firm, I will be for managing the businesses finances and vendor relationships. This is a referral entity setup to refer clients to our CPA partners who provide tax advice to clients. 5. Procyon Benefits LLC; Investment Related: No; Nature: Group Insurance and Benefits for Small and Mid Size Companies; Partial Owner; Since 1/1/2019; Duties: Sales/ Business Development.
CRS (Client Relationship Summary) - RIA
Click below to view Louis Gloria's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 14, 2017 - Present
PROCYON
Office #1: 1 Corporate Drive Suite 225, Shelton, CT 06484RIA
CRD#: 288239
Shelton, CT
Past
April 19, 2018 - December 31, 2021
PROCYON INSTITUTIONAL PARTNERS, LLC
RIA
CRD#: 288244
SHELTON, CT
Past
June 2, 2017 - December 31, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Shelton, CT
Past
April 24, 2009 - June 28, 2017
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
STAMFORD, CT
Past
April 24, 2009 - June 28, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
STAMFORD, CT
Past
April 11, 2005 - May 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FAIRFIELD, CT
Past
April 11, 2005 - May 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FAIRFIELD, CT
Past
January 8, 2002 - April 12, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
NEW HAVEN, CT
Past
August 13, 2001 - April 12, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC
CRD#: 288239 / SEC#: 801-110493
RIA
Registered Investment Advisory firm - (5/26/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Connecticut(6/14/2017)
IAR
North Carolina(3/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC
CRD#: 288239 / SEC#: 801-110493
RIA
Registered Investment Advisory firm - (5/26/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 Corporate Drive Suite 225, Shelton, CT 06484
Mailing Address
Phone number
(475) 232-2704
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,638 |
| AUM (Assets Under Management) | $ 7,769,672,465 |
Red Flags
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Company Information
PROCYON
CRD#: 288239Shelton, CT 06484TRUST BUT VERIFY
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