Louis Charles Cardinal
Professional Summary
Louis Charles Cardinal is a registered financial advisor currently at THORNTON FARISH INC. located in Montgomery, Alabama. Louis is registered as a RR (Registered Representative) and started their career in finance in 1980. Louis has worked at 2 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 50, Series 7, Series 54 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
THORNTON FARISH INC. | THORNTON, FARISH & GAUNTT, INC. | THORNTON, FARISH & GAUNTT
Contact Information
Main Address
3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781Mailing Address
3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781Phone Number
(334) 270-8555Established
Alabama since 04/01/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAMMAN, PRESCOTT WOODRUFF | PRESIDENT | 860903 |
| BAMMAN, PRESCOTT WOODRUFF | CHIEF FINANCIAL OFFICER | 860903 |
| CARDINAL, LOUIS CHARLES | EXECUTIVE VICE PRESIDENT | 716540 |
| WHITEHEAD, JOSEPH ANTHONY JR | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 865409 |
| RUSSELL, SARAH DETLING | CHIEF FINANCIAL OFFICER | 6727189 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/25/1995)
(4/27/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2016About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Nov 2020About the Series 54 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Louis Charles Cardinal's CRS (Customer Relationship Summary).
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