Louise-alison G. Roussel
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-alison Geraldine Roussel, who also goes by Louise Alison Geraldine Kretz-roussel, Louise Roussel, was a registered financial professional .
Louise-alison is a previously registered financial professional and started their career in finance in 2006. Louise-alison had worked at 4 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 79 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
September 1, 2020 - January 2, 2021
HOLLISTER ASSOCIATES, LLC
March 8, 2019 - September 1, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
October 20, 2015 - March 1, 2019
SMBC NIKKO SECURITIES AMERICA, INC.
March 29, 2006 - April 22, 2015
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/18/2022
General Securities Representative ExaminationSeries 79TO
Date: 11/18/2022
Investment Banking Registered Representative ExaminationCurrent Firm
HOLLISTER ASSOCIATES, LLC
CRD#: 173366 / SEC#: , 8-69538
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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