Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Wittenberg is a financial advisor with over 25 years of experience in the financial services industry. Louis is currently registered with Raymond James & Associates, Inc. and has previously held positions with STERNE, AGEE & LEACH, INC., COUNTRYWIDE SECURITIES CORPORATION, FTN FINANCIAL SECURITIES CORP and MORGAN KEEGAN & COMPANY, INC. Louis holds several licenses and registrations including Series 7, Series 24, and Series 63. Louis is committed to providing clients with personalized financial advice and strategies tailored to their individual needs and goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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.
1
2
TN
11/21/2011 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
10/03/2008 - 12/01/2011
STERNE, AGEE & LEACH, INC. (MEMPHIS TN)
TN
04/20/2006 - 08/08/2008
COUNTRYWIDE SECURITIES CORPORATION (MEMPHIS TN)
TN
05/19/1999 - 04/27/2006
FTN FINANCIAL SECURITIES CORP (MEMPHIS TN)
TN
09/08/1994 - 02/06/1997
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BC
Issued 04/30/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/24/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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