Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Charles Brutocao is a registered representative with Wells Fargo Clearing Services, LLC, and has been in the industry since November 1994. Louis has held several previous roles in the financial industry, including positions with Credit Suisse Securities (USA) LLC, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Louis has a wide range of experience in the financial industry, and is committed to providing clients with personalized and comprehensive financial advice. Louis specializes in providing investment advice to individuals, corporations, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
02/09/2016 - Present
Wells Fargo Clearing Services, LLC (NEWPORT BEACH CA)
CA
07/12/2012 - 03/01/2016
CREDIT SUISSE SECURITIES (USA) LLC (SAN DIEGO CA)
CA
06/01/2009 - 08/09/2012
MORGAN STANLEY SMITH BARNEY (MONARCH BEACH CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MONARCH BEACH CA)
CA
11/16/2005 - 04/02/2007
MORGAN STANLEY DW INC. (MONARCH BEACH CA)
MO
07/01/2003 - 11/16/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
11/17/1994 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2003
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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