Louie F. Grimes

RED OAK INVESTMENT SOLUTIONS LLC

Kinston, AL

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CRD#: 7219171

Professional summary

Louie Franklin Grimes Jr. is a registered financial advisor currently at RED OAK INVESTMENT SOLUTIONS LLC located in Kinston, Alabama.

Louie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Louie has worked at 2 firms and has passed the Series 63, Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Employed as pharmacist at CVS Pharmacy.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louie Franklin Grimes Jr.'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

July 20, 2023 - Present

RED OAK INVESTMENT SOLUTIONS LLC

RIA

CRD#: 327025

Kinston, AL

Past

January 18, 2020 - July 14, 2021

MAGNOLIA WEALTH MANAGEMENT LLC

RIA

CRD#: 297598

DOTHAN, AL

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(7/20/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/21/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/21/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/28/2018

Securities Industry Essentials Examination

Current Firm

RED OAK INVESTMENT SOLUTIONS LLC

CRD#: 327025 / SEC#:

Alabama

Registered Investment Advisory firm - (7/20/2023 Approved)

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Contact information

Main Address

Kinston, AL

Mailing Address

Phone number

(334) 343-4130

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Louie F. Grimes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louie Franklin Grimes Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

RED OAK INVESTMENT SOLUTIONS LLC

MAGNOLIA WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/2018

Series 65

Date: 8/21/2018

SIE

Date: 12/28/2018

Current Firm

RED OAK INVESTMENT SOLUTIONS LLC

Contact information

Documents

Red Flags

Company Information

RED OAK INVESTMENT SOLUTIONS LLC

TRUST BUT VERIFY

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