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LS

Louis S. Soulios

MIDAS SECURITIES GROUP
Rochester, NY 14624
Some features on this profile are disabled
CRD#: 6309025
LS

Professional summary

Louis Scott Soulios is a registered financial professional currently at MIDAS SECURITIES GROUP, INC. located in Rochester, New York.

Louis is registered as a RR (Registered Representative) and started their career in finance in 2016. Louis has worked at 3 firms and has passed the SIE, Series 99 and Series 27 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) - BD

Click below to view Louis Scott Soulios's CRS (Customer Relationship Summary).

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

Current

October 12, 2022 - Present

MIDAS SECURITIES GROUP, INC.

Office #1: 2255 Buffalo Road, Rochester, NY 14624
BD
CRD#: 14009
Rochester, NY
Past

July 21, 2016 - October 11, 2022

BERENBERG CAPITAL MARKETS LLC

BD
CRD#: 156757
NEW YORK, NY
Past

April 21, 2016 - June 20, 2016

KIMBERLITE ADVISORS, LLC

BD
CRD#: 153501
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 9/24/2018
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/21/2016
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MIDAS SECURITIES GROUP, INC.
BULL & BEAR MARKETING SERVICES | MIDAS SECURITIES GROUP, INC. | INVESTOR SERVICE CENTER, INC.

CRD#: 14009 / SEC#: , 8-29751

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
2255 Buffalo Road, Rochester, NY 14624
Mailing Address
2255 Buffalo Road, Rochester, NY 14624
Phone number
(212) 785-0900
Established
Delaware since 12/19/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WINMILL & CO. INCORPORATEDPARENT COMPANY
KAMERMAN, RUSSELL LOUISSECRETARY, GENERAL COUNSEL, AND CHIEF COMPLIANCE OFFICER6432984
KLIMOSKI, DONALD IIASSISTANT SECRETARY, ASSISTANT GENERAL COUNSEL, AND ASSISTANT CHIEF COMPLIANCE OFFICER6854924
OMALLEY, THOMASDIRECTOR, CFO, CAO, TREASURER, CONTROLLER1144851
WINMILL, MARK CAMPBELLPRINCIPAL1181703
WINMILL, THOMAS BASSETTDIRECTOR, CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND CHIEF LEGAL OFFICER1849082

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

MIDAS SECURITIES GROUP, INC.

CRD#: 14009Rochester, NY 14624

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