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LK

Louis K. Kittlaus

Some features on this profile are disabled
CRD#: 602059
LK

Professional summary

Louis Karl Kittlaus was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Louis Karl Kittlaus was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 1969. Louis had worked at 19 firms and has passed the Series 63, SIE, Series 1 and Series 39 exams.

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

April 17, 2012 - May 11, 2016

WALL STREET STRATEGIES, INC.

BD
CRD#: 31268
CHICAGO, IL
Past

February 2, 2009 - April 9, 2012

KINGSBURY CAPITAL, INC.

BD
CRD#: 7638
EVANSTON, IL
Past

February 13, 2006 - November 20, 2008

ALLIANCE AFFILIATED EQUITIES CORPORATION

BD
CRD#: 23928
OVERLAND PARK, KS
Past

November 20, 2004 - February 14, 2006

STEVEN L. FALK & ASSOCIATES INC.

BD
CRD#: 14297
LAS VEGAS, NV
Past

June 2, 1999 - January 6, 2005

AMERICAN BEACON PARTNERS, INC.

BD
CRD#: 15791
EAU CLAIRE, WI
Past

October 16, 1997 - May 24, 1999

STRATEGIC ASSETS INC.

BD
CRD#: 37590
MELVILLE, NY
Past

April 17, 1995 - November 5, 1997

COUSINS SECURITIES CORPORATION

BD
CRD#: 27859
OAK BROOK, IL
Past

November 16, 1993 - April 21, 1995

OAK BROOK SECURITIES CORP.

BD
CRD#: 16886
OAKBROOK TERRACE, IL
Past

March 22, 1993 - October 1, 1993

WFG SECURITIES CORPORATION

BD
CRD#: 13169
MIDDLETON, WI
Past

July 12, 1991 - January 2, 1992

BIRKELBACH INVESTMENT SECURITIES, INC.

BD
CRD#: 11490
CHICAGO, IL
Past

March 5, 1991 - July 16, 1991

DALY INVESTMENT CO.

BD
CRD#: 17595
PALOS PARK, IL
Past

March 6, 1990 - June 24, 1991

FOX & HENRY, INC.

BD
CRD#: 10210
BURR RIDGE, IL
Past

November 30, 1983 - March 20, 1989

KITTLAUS COMPANY

BD
CRD#: 14526
Past

April 24, 1979 - January 10, 1980

INSTITUTIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 7138
Past

December 22, 1975 - December 19, 1984

INDIVIDUALS' FINANCIAL SERVICES, INCORPORATED

BD
CRD#: 6638
Past

October 24, 1974 - January 11, 1976

MOSELEY, HALLGARTEN & ESTABROOK INC.

BD
CRD#: 6679
Past

June 5, 1974 - November 21, 1974

FIRST COLUMBIA CORPORATION

BD
CRD#: 6443
Past

May 13, 1974 - November 14, 1974

ENI CORPORATION

BD
CRD#: 5693
Past

August 15, 1969 - June 6, 1974

MCCORMICK & CO., INCORPORATED

BD
CRD#: 973

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: 10/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/11/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 11/12/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 2/4/1986
Direct Participation Programs Principal Examination

Current Firm

WS
WALL STREET STRATEGIES, INC.
SINCLAIR CAPITAL GROUP, INC. | WATERFORD TECHNOLOGY EQUITIES, INC. | WALL STREET STRATEGIES, INC.

CRD#: 31268 / SEC#: , 8-45459

BD
Cancelled by SEC on 03/17/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Oklahoma since 01/04/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SAVAGE, GARRY NELSON SRCEO, CCO, PRESIDENT1195330
SAVAGE, GARRY NELSON JREXECUTIVE VICE PRESIDENT, FINOP, SECRETARY, TREASURER2338013
WARD, JEFFREY SCOTTVICE-PRESIDENT, FINOP2490210

Disclosures

Regulatory Event5
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WALL STREET STRATEGIES, INC.

CRD#: 31268

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