Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Portnoy is a financial advisor in Chicago, IL. Louis is registered with Wells Fargo Clearing Services, LLC, a firm headquartered in St. Louis, MO. Louis has been in the financial services industry since 1982 and has held previous roles with STIFEL, NICOLAUS & COMPANY, INCORPORATED, B. C. ZIEGLER AND COMPANY, RBC CAPITAL MARKETS, LLC, OPPENHEIMER & CO. INC., CIBC WORLD MARKETS CORP., PAINEWEBBER INCORPORATED, KIDDER, PEABODY & CO. INCORPORATED, BEAR, STEARNS & CO. INC., L. F. ROTHSCHILD & CO. INCORPORATED, SHEARSON LEHMAN BROTHERS INC. and LEHMAN BROTHERS KUHN LOEB INCORPORATED. Louis is licensed to provide investment advisory services to individuals and businesses, as well as to corporations, institutions, high net worth individuals and charitable organizations. Louis holds both Series 63 and Series 65 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.
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.
1
2
IL
07/26/2019 - Present
Wells Fargo Clearing Services, LLC (CHICAGO IL)
IL
03/16/2018 - 08/07/2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CHICAGO IL)
IL
08/31/2012 - 03/16/2018
B. C. ZIEGLER AND COMPANY (ROCKFORD IL)
IL
07/01/2008 - 09/13/2012
RBC CAPITAL MARKETS, LLC (CHICAGO IL)
IL
01/03/2003 - 07/02/2008
OPPENHEIMER & CO. INC. (CHICAGO IL)
NY
05/26/1995 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
01/28/1995 - 06/14/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/28/1992 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
03/14/1988 - 09/29/1992
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
08/03/1987 - 04/14/1988
L. F. ROTHSCHILD & CO. INCORPORATED
NA
10/20/1982 - 09/01/1987
SHEARSON LEHMAN BROTHERS INC.
NA
11/03/1982 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
IA
Issued 01/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/30/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/17/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 06/18/1977
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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