Louis A. Woodbeck
Professional summary
Louis Albin Woodbeck, who also goes by Lou Woodbeck, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Charlotte, North Carolina and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Louis has worked at 2 firms and has passed the Series 65, Series 99TO, Series 6TO, SIE and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Louis Albin Woodbeck's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2022 - Present
IP FINANCIAL ADVISORY SERVICES LLC
Office #1: 5950 Fairview Road, Suite 140, Charlotte, NC 28210June 22, 2023 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/17/2022)
Exams
Series 99TO
Date: 2/27/2024
Operations Professional ExaminationSeries 6TO
Date: 6/22/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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