Louis C. Cardinal

THORNTON FARISH

Montgomery, AL 36116

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CRD#: 716540

Professional summary

Louis Charles Cardinal is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

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

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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

August 25, 1995 - Present

THORNTON FARISH INC.

Office #1: 3500 Eastern Blvd., Suite 210, Montgomery, AL 36116Office #2: 3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781

CRD#: 830

Montgomery, AL

Past

September 28, 1983 - July 19, 1995

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

NEW ORLEANS, LA

Past

September 26, 1980 - September 12, 1983

THORNTON FARISH INC.

CRD#: 830

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(8/25/1995)

California
(4/27/2022)

Exams

State Security Law Exam

Series 63

Date: 11/1/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 2/10/2016

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 54

Date: 11/19/2020

Municipal Advisor Principal Qualification Examination

Principal/Supervisory Exam

Series 53

Date: 11/9/1995

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THORNTON FARISH INC.

THORNTON FARISH INC. | THORNTON, FARISH & GAUNTT, INC. | THORNTON, FARISH & GAUNTT

CRD#: 830 / SEC#: , 8-37486

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781

Mailing Address

3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781

Phone number

(334) 270-8555

Established

Alabama since 04/01/1990

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 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

Red Flags

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Louis C. Cardinal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Charles Cardinal's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

THORNTON FARISH INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/1/1989

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 2/10/2016

Series 7

Date: 9/20/1980

Series 54

Date: 11/19/2020

Series 53

Date: 11/9/1995

FINRA

Current Firm

THORNTON FARISH INC.

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THORNTON FARISH INC.

TRUST BUT VERIFY

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