Louis A. Barbuto
Professional summary
Louis A Barbuto, who also goes by Louis Barbuto, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.
Louis is registered as a RR (Registered Representative) and started their career in finance in 2012. Louis has worked at 2 firms and has passed the Series 66, SIE, Series 79, Series 7 and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Louis A Barbuto's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2021 - Present
CAIS CAPITAL LLC
Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022February 12, 2014 - April 8, 2021
UBS FINANCIAL SERVICES INC.
November 12, 2012 - April 8, 2021
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/26/2021)
(4/26/2021)
(4/26/2021)
Exams
FINRA
Current Firm
CAIS CAPITAL LLC
CRD#: 154512 / SEC#: , 8-68646
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL INTEGRATION SYSTEMS LLC | PARENT/OWNER | |
| BROWN, MATTHEW CRAWFORD | CEO/MEMBER/EXECUTIVE REP. | 2160159 |
| COLLINS, MICHAEL PATRICK | CCO | 5366193 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| PREMSELAAR, MARC KLEIN | SENIOR MANAGING DIRECTOR | 5395973 |
| SHANNON, TIMOTHY BRIAN | PRESIDENT | 4461906 |
| WALKER, BRADLEY JAY | SENIOR MANAGING DIRECTOR | 5000838 |
Red Flags
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