Home  >  BrightScope Advisor Pages  >  Louis B Wolkenstein

Louis B Wolkenstein

Is this you? (Click to claim profile)
Contact Advisor

Information

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

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 16 years and is subject to SEC oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Web.Com 1 year, 11 months Sep 2013 - Present
The Investment Advisor LLC 5 years, 10 months Oct 2009 - Present
Investment Advisor 5 years, 10 months Oct 2009 - Present
Web.Com 6 years 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
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 07/26/2007
Uniform Investment Adviser Law ExaminationSeries 65 10/26/2001
Uniform Securities Agent State Law ExaminationSeries 63 01/30/1989

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.

Licenses and Conduct

Regulator
License Status
Registered
Not registered
Disclosures

2 Final Judgments

2 Final Judgments

As of Date
10/03/2014
09/22/2014
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees