Louise T. Abrams
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.
Louise Tyler Abrams, who also goes by Louise H Abramoff, Louise Abramoff, Louise H Abrams, Louise H. Abrams, Louise Abrams, Louise Sonken, was a registered financial advisor .
Louise is a previously registered financial advisor and started their career in finance in 1969. Louise had worked at 8 firms and has passed the Series 63, Series 3, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2006 - May 17, 2010
RAYMOND JAMES & ASSOCIATES, INC.
June 15, 2006 - May 17, 2010
RAYMOND JAMES & ASSOCIATES, INC.
July 12, 1994 - July 13, 2006
MORGAN STANLEY DW INC.
July 7, 1994 - July 13, 2006
MORGAN STANLEY DW INC.
June 30, 1987 - June 27, 1994
UBS FINANCIAL SERVICES INC.
August 22, 1986 - June 4, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1982 - April 21, 1987
A.G.P. / ALLIANCE GLOBAL PARTNERS
May 4, 1972 - October 3, 1985
BRAGER & COMPANY INCORPORATED
June 21, 1971 - May 23, 1973
H KOOK & CO INC
November 12, 1969 - May 23, 1971
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
PC
Date: 10/15/1986
AMEX Put and Call ExamSeries 1
Date: 10/28/1966
Registered Representative ExaminationSeries 00
Date: 2/17/1972
General Securities Principal ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
