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Other Names: Louis Wolkenstein
The Investment Advisor LLC
Managing Principal
Type: RIA

Louis Wolkenstein is an executive and is sole owner of The Investment Advisor LLC, a $0 RIA. Louis has held an industry securities registration for 15 years and is subject to SEC oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Louis B Wolkenstein has not answered any questions on Financial Q&A.

Top Guides

Louis B Wolkenstein has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

No client types listed.

Experience and Employment History

Employer Years Dates
Investment Advisor 4 years, 6 months Oct 2009 - Present
The Investment Advisor LLC 4 years, 6 months Oct 2009 - Present
Web.Com 4 years, 8 months Aug 2009 - Present
Network Solutions 8 months Dec 2008 - Aug 2009
Morgan Stanley & Co., Incorporated 11 months Apr 2007 - Mar 2008
Bank of America 2 years, 7 months Sep 2004 - Apr 2007
Mail Marketing Systems 1 year, 1 month Jun 2003 - Jul 2004
Allmerica Financial 4 months Nov 2002 - Mar 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/08/2010, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status
Not registered

No Disclosures Found

2 Final Judgments

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 09/04/2007
Uniform Combined State Law Examination Series 66 07/26/2007
General Securities Representative Examination Series 7 07/03/2007
Uniform Investment Adviser Law Examination Series 65 10/26/2001
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 07/02/1998
Uniform Securities Agent State Law Examination Series 63 01/30/1989

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees