Louis L. Farkas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Louis Ladislaus Farkas was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1981. Louis had worked at 4 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2000 - March 31, 2004
NETWORK 1 FINANCIAL SECURITIES INC.
January 25, 1999 - October 12, 2000
1ST GLOBAL CAPITAL CORP.
September 15, 1986 - October 26, 1998
EQUITABLE ADVISORS, LLC
January 21, 1981 - October 26, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
Red Flags
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