Louise M. Wasso
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.
Louise Mary Wasso, who also goes by Louise Mary Wasso, Louise Wasso, Louise Wasso-jonikas, was a registered financial professional .
Louise is a previously registered financial professional and started their career in finance in 1987. Louise had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 7 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2024 - April 1, 2025
TPG CAPITAL BD, LLC
January 5, 2011 - December 14, 2015
AG BD LLC
May 18, 2007 - June 18, 2007
MAFG RIA SERVICES, INC.
May 18, 2007 - December 20, 2010
MAFG RIA SERVICES, INC.
October 26, 2000 - July 7, 2005
MORGAN STANLEY & CO. LLC
January 11, 2000 - July 7, 2005
MORGAN STANLEY & CO. LLC
September 23, 1993 - January 8, 1999
GRAYSTONE PARTNERS L.P.
February 5, 1993 - July 24, 1993
BESSEMER INVESTOR SERVICES, INC.
October 20, 1987 - February 6, 1991
MORGAN STANLEY & CO. LLC
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 7TO
Date: 1/31/2024
General Securities Representative ExaminationCurrent Firm
TPG CAPITAL BD, LLC
CRD#: 143876 / SEC#: , 8-67616
Contact information
FINRA licenses (51 States and Territories)
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.
