Louis J. Akers
Professional summary
Louis Joseph Akers JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Louis is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Louis had worked at 5 firms, which includes FERRIS BAKER WATTS LLC, THOMSON MCKINNON SECURITIES INC., UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 1989 - June 8, 2007
FERRIS, BAKER WATTS, LLC
March 25, 1985 - June 30, 1989
THOMSON MCKINNON SECURITIES INC.
December 20, 1983 - March 29, 1985
UBS FINANCIAL SERVICES INC.
September 17, 1981 - December 19, 1983
KIDDER, PEABODY & CO. INCORPORATED
March 1, 1977 - December 11, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 15
Date: 2/27/1989
Foreign Currency Options ExaminationSeries 5
Date: 2/27/1989
Interest Rate Options ExaminationSeries 8
Date: 12/1/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FERRIS, BAKER WATTS, LLC
CRD#: 285 / SEC#: , 8-16427
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS CORPORATION | 100% OWNER | 31194 |
| CHAPMAN, JAMES DOUGLAS | CEO | 728296 |
| COQUELIN, WILLIAM CARL | CHIEF INFORMATION OFFICER | |
| DIRZUWEIT, LENEE BETH | ROSFP | 2480492 |
| HARTMAN, CRAIG ROBERT | CFO | 4413090 |
| KAVANAGH, MICHAEL ROBERT | DIRECTOR | 1021014 |
| KERMEEN, DEBORAH JOY | COO | 2235924 |
| LEAVERTON, KARL VERNON | DIRECTOR | 1106831 |
| RUTHERFORD, PATRICIA ANN | CHIEF COMPLIANCE OFFICER | 5059176 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 18 |
Red Flags
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