Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Rawls is a financial advisor with UBS Financial Services Inc. Louis has been in the financial services industry since 1999. Louis has been registered with the Securities and Exchange Commission (SEC) since 2003. Louis is a Series 6, 7, 63 and 65 licensed financial advisor with a history of previous experience working with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Manulife Financial Securities LLC, Jackson National Life Distributors, Inc., and National Planning Corporation. Louis has several years of experience advising clients in Alabama, Colorado, Florida, Georgia, Indiana, Louisiana, Michigan, New Jersey, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and Wisconsin.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
GA
04/19/2017 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
09/10/2003 - 04/20/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ATLANTA GA)
MA
11/08/2002 - 06/19/2003
MANULIFE FINANCIAL SECURITIES LLC (BOSTON MA)
TN
01/11/2002 - 05/07/2002
JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (FRANKLIN TN)
CA
07/19/1999 - 05/07/2002
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
IA
Issued 09/25/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2003
Series 7 - General Securities Representative Examination
BC
Issued 07/16/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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