Louis A. Gioiella
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.
Louis A Gioiella, who also goes by Lou Gioiella, Louis Gioiella, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1979. Louis had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2006 - June 22, 2021
CANTELLA & CO., INC.
December 15, 2006 - June 22, 2021
CANTELLA & CO., INC.
October 6, 2000 - December 20, 2006
CITIGROUP GLOBAL MARKETS INC.
September 21, 2000 - December 20, 2006
CITIGROUP GLOBAL MARKETS INC.
June 16, 1998 - November 3, 2000
RAYMOND JAMES & ASSOCIATES, INC.
May 11, 1998 - September 25, 1999
RONEY & CO.
September 12, 1988 - May 11, 1998
RONEY & CO. L.L.C.
May 3, 1983 - September 22, 1988
UBS FINANCIAL SERVICES INC.
September 28, 1982 - May 3, 1983
FIRST AFFILIATED SECURITIES, INC.
July 10, 1980 - July 27, 1982
PRESCOTT, BALL & TURBEN, INC.
June 13, 1979 - July 4, 1980
AMERICAN EXPRESS FINANCIAL CORPORATION
June 13, 1979 - July 4, 1980
AMERIPRISE FINANCIAL SERVICES, LLC
June 13, 1979 - July 4, 1980
IDS LIFE INSURANCE COMPANY
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: 6/7/1979
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
