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Louis B Wolkenstein

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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 15 years and is subject to SEC oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Web.Com 11 months, 3 weeks Sep 2013 - Present
The Investment Advisor LLC 4 years, 10 months Oct 2009 - Present
Investment Advisor 4 years, 10 months Oct 2009 - Present
Web.Com 5 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
Futures Managed Funds ExaminationSeries 31 09/04/2007
Uniform Combined State Law ExaminationSeries 66 07/26/2007
General Securities Representative ExaminationSeries 7 07/03/2007
Uniform Investment Adviser Law ExaminationSeries 65 10/26/2001
General Securities Sales Supervisor Examination (Options Module & GeneralModule)Series 8 07/02/1998
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

No Disclosures Found

2 Final Judgments

As of Date
07/02/2014
07/22/2014
*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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees