Matthew Louis
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.
Matthew Louis, who also goes by Matthew Louis Bullock, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2007. Matthew had worked at 4 firms and has passed the Series 66 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 17, 2010 - December 23, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 17, 2010 - December 23, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 7, 2010 - May 12, 2010
GOLD COAST SECURITIES, INC.
March 26, 2010 - May 12, 2010
GOLD COAST SECURITIES, INC.
February 24, 2009 - April 2, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
February 24, 2009 - April 2, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
April 30, 2007 - July 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - July 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
