|Other Names:||Louis Wolkenstein|
The Investment Advisor LLC
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.
Top AnswersLouis B Wolkenstein has not answered any questions on Financial Q&A.
No client types listed.
|Investment Advisor||4 years, 5 months||Oct 2009 - Present|
|The Investment Advisor LLC||4 years, 5 months||Oct 2009 - Present|
|Web.Com||4 years, 7 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|
No Disclosures Found
2 Final Judgments
|As of Date||
*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.
|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|
Types of Compensation Arrangements
- Percentage of Assets
- Hourly Charges
- Fixed Fees