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Louis Joseph Lopresti

CRD# 726372·Registered 1981 - 1991
Previously Registered: Being a previously registered professional could mean that Louis 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.

Professional Summary

Louis Joseph Lopresti was a registered financial advisor. Louis was a previously registered financial professional and started their career in finance 1981 - 1991. Louis had worked at 5 firms and has passed the Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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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Years of Experience

45 years in the financial services industry

Current & Past Employments

DUNHILL SECURITIES INC.·CRD# 17588
BD
March 20, 1991 - April 2, 1991
FIRST BROKERS SECURITIES LLC·CRD# 27369
BD
Jersey City, NJ
March 11, 1991 - January 2, 2013
W.A. CAPITAL MARKETS·CRD# 6292
BD
New York, NY
April 14, 1983 - January 28, 1991
JOHN MUIR & CO.·CRD# 2837
BD
May 27, 1981 - August 17, 1981
PERSHING LLC·CRD# 7560
BD
March 23, 1981 - June 12, 1981

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Current Firm

DS
DUNHILL SECURITIES INC.

DUNHILL SECURITIES INC. | DUNHILL SECURITIES, INC.

CRD#: 17588 / SEC#: 8-35490
BD
Terminated by SEC on 01/09/1994

Contact Information

Established

New York since 09/27/1985

Firm Type

Corporation

Fiscal Year End

June

Documents

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed Mar 1981About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2004About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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