Lois E. Pressman
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.
Lois Ellen Pressman, who also goes by Lois Ellen Knaster, was a registered financial professional .
Lois is a previously registered financial professional and started their career in finance in 1977. Lois had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2008 - April 24, 2018
HENNION & WALSH ASSET MANAGEMENT, INC.
June 27, 2008 - April 24, 2018
HENNION & WALSH, INC.
November 21, 2005 - June 26, 2008
J.P. MORGAN SECURITIES LLC
November 21, 2005 - June 26, 2008
J.P. MORGAN SECURITIES LLC
May 10, 2002 - November 29, 2005
RBC CAPITAL MARKETS, LLC
March 9, 2002 - November 29, 2005
RBC CAPITAL MARKETS, LLC
September 1, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
March 21, 1979 - September 1, 1999
GIBRALTAR SECURITIES CO.
December 13, 1978 - April 30, 1979
HAMILTON/COOKE & CO., INC.
October 26, 1977 - December 21, 1978
LEBENTHAL & CO., INC.
Primary Firm SEC Registration
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
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
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,423 |
| AUM (Assets Under Management) | $ 590,106,063 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 | ||
| 10/27/2023 | ||
| 09/28/2022 |
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.
