Louis A. Woolf
Professional summary
Louis Alan Woolf 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 1978. Prior to being barred, Louis had worked at 3 firms, which includes VOYA FINANCIAL ADVISORS INC., INVESTORS CAPITAL CORP., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2017 - June 17, 2020
VOYA FINANCIAL ADVISORS, INC.
July 15, 2016 - June 17, 2020
VOYA FINANCIAL ADVISORS, INC.
October 30, 2000 - November 10, 2015
INVESTORS CAPITAL CORP.
August 4, 1994 - October 30, 2000
FORESTERS FINANCIAL SERVICES, INC.
June 19, 1978 - December 21, 1993
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 6/10/1978
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
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