Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alison? Claim Your ProfileAlison Louie is a Financial Advisor. Alison has been working in the financial industry since 2007. Alison has held positions at BNP Paribas Securities Corp., Credit Agricole Securities (USA) Inc., MarketAxess Corporation, and Goldman, Sachs & Co. Alison is currently registered with TD Securities (usa) LLC and is licensed to provide financial services in all 50 states, the District of Columbia, and Puerto Rico. Alison holds Series 7, Series 63, and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
11/20/2023 - Present
TD Securities (usa) LLC (NEW YORK NY)
NY
05/03/2017 - 09/28/2023
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
08/22/2014 - 05/05/2017
CREDIT AGRICOLE SECURITIES (USA) INC. (NEW YORK NY)
NY
06/07/2013 - 07/02/2014
MARKETAXESS CORPORATION (NEW YORK NY)
NY
09/21/2006 - 05/21/2013
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 08/17/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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