Louis Lavalle
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 Lavalle, who also goes by Louis A. Lavalle, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2004. Louis had worked at 9 firms and has passed the Series 65, Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2021 - May 1, 2024
FORESIDE GLOBAL SERVICES, LLC
July 26, 2019 - April 27, 2021
NEUBERGER BERMAN BD LLC
March 20, 2019 - April 27, 2021
NEUBERGER BERMAN BD LLC
March 17, 2017 - October 10, 2018
BNY MELLON SECURITIES CORPORATION
May 9, 2016 - February 16, 2017
ENTRUST GLOBAL SECURITIES LLC
August 23, 2012 - May 10, 2016
FRANKLIN DISTRIBUTORS, LLC
February 7, 2011 - April 25, 2012
HASTINGS CAPITAL GROUP, LLC
June 1, 2009 - February 1, 2011
MORGAN STANLEY
August 3, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 16, 2004 - September 2, 2005
CREDIT SUISSE SECURITIES (USA) 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
Current Firm
FORESIDE GLOBAL SERVICES, LLC
CRD#: 147382 / SEC#: , 8-67903
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 | VP/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.
