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LM

Louis M. Mall

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CRD#: 5620229
LM

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 M. Mall was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 2009. Louis had worked at 1 firm and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 21, 2012 - October 24, 2012

HAMPTON HEDGE FUND MARKETING, LLC

BD
CRD#: 141685
OAKTON, VA
Past

February 9, 2009 - May 20, 2010

HAMPTON HEDGE FUND MARKETING, LLC

BD
CRD#: 141685
OAKTON, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/2009
General Securities Representative Examination

Current Firm

HH
HAMPTON HEDGE FUND MARKETING, LLC
HAMPTON HEDGE FUND MARKETING, LLC

CRD#: 141685 / SEC#: , 8-67406

BD
Terminated by SEC on 01/29/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Virginia since 10/12/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MCGREGOR, DOUGLAS HAMPTONMEMBER/PRES/CCO1611144
KERN, JENIFER ELLENMEMBER
WARREN, MICHAEL DENNISFINANCIAL AND OPERATIONS PRINCIPAL5178727

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.

Company Information

HAMPTON HEDGE FUND MARKETING, LLC

CRD#: 141685

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