Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Caiola is an investment advisor registered in New York, and is currently employed with The Silverfern Group, Inc.. Louis has been in the industry since September 13, 2003, and holds the Series 3, 7, 63, 66, 79, and SIE licenses. In addition to The Silverfern Group, Inc., Louis has previously worked with Deutsche Bank Securities Inc., UBS Financial Services Inc., and Thomas Weisel Partners LLC. Louis is registered in New York as a Broker-Dealer.
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.
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.
1
2
CT
09/09/2013 - Present
THE Silverfern Group, Inc. (GREENWICH CT)
NY
07/01/2010 - 07/27/2011
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
04/18/2005 - 07/12/2010
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
CA
08/01/2001 - 04/19/2005
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
IA
Issued 04/07/2012
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 05/10/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/06/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/28/2010
Series 3 - National Commodity Futures Examination
BC
Issued 07/31/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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