Louis S. Rouse
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 Sherman Rouse III, who also goes by L Trey Rouse III, Trey Rouse, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2001. Louis had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2009 - February 7, 2024
FORESIDE FINANCIAL SERVICES, LLC
July 2, 2008 - January 5, 2011
DIAMOND HILL CAPITAL MANAGEMENT INC
January 10, 2008 - May 22, 2008
NATIONWIDE FUND DISTRIBUTORS LLC
January 2, 2008 - January 10, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 5, 2006 - May 20, 2008
NATIONWIDE INVESTMENT ADVISORS, LLC
February 12, 2002 - December 31, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 20, 2001 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
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
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
