Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Smalle is a financial advisor with over 40 years of experience in the financial services industry. Currently, Louis works as a Registered Representative at Cetera Investment Advisers LLC. Previously, Louis worked at various financial firms including Mutual Service Corporation, Calvert Securities Corporation, and Planner's Independent Management, Inc. Louis holds several licenses including Series 63, Series 65, and Series 7. Louis specializes in providing financial advice to individuals, families, and businesses.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CO
03/21/2024 - Present
Cetera Investment Advisers LLC (CENTENNIAL CO)
CO
01/11/1994 - 11/03/2008
MUTUAL SERVICE CORPORATION (DENVER CO)
MD
09/12/1990 - 01/19/1994
CALVERT SECURITIES CORPORATION (BETHESDA MD)
CA
10/24/1989 - 09/17/1990
PLANNER'S INDEPENDENT MANAGEMENT, INC. (SAN MARCOS CA)
NA
07/10/1989 - 10/31/1989
KORN, WOMACK, STERN AND ASSOCIATES, INC.
NA
12/22/1987 - 07/05/1989
MONARCH FINANCIAL SERVICES, INC.
NA
06/15/1984 - 09/18/1987
CONCORD ASSETS SECURITIES, INC.
NA
12/01/1976 - 01/02/1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
10/29/1975 - 10/09/1976
SHEARSON HAYDEN STONE INC.
NA
09/19/1972 - 12/13/1975
BACHE & CO INCORPORATED
NA
02/02/1971 - 10/04/1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 04/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/18/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1989
Series 3 - National Commodity Futures Examination
BC
Issued 03/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 06/14/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 01/29/1971
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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