Louis Lo is a registered investment advisor, based in Columbus, OH, with 39 years of industry experience. Louis is also registered as a broker, so some compensation may come from commissions on products sold.
Location
1900 Polaris Parkway, Suite 450, Columbus, OH, 43240
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Regulatory History (2)
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Employment Separation After Allegations
September 2020Regulatory
November 1996Final
Other Business ActivitiesSells Insurance
Louis owns a rental property and spends a few hours per week managing it. He also does part-time tax preparation and is a licensed insurance agent, occasionally offering clients advice or products related to insurance.
Employment History
Current Registrations
Omni Financial Securities, INC.Broker
October 2020 - Present · 6 yrs
Sws Advisors, INC.
October 2020 - Present · 6 yrs
Previous Registrations
Cetera Advisors LLC
February 2011 - October 2020 · 9 yrs 8 mos
Cetera Advisors LLCBroker
February 2011 - October 2020 · 9 yrs 8 mos
Shepard & Vrbanac Securities, INC.
January 2008 - March 2010 · 2 yrs 2 mos
Xtent Financial Group, INC.Broker
January 2008 - January 2011 · 3 yrs
Wrp Investments, INC.
January 2004 - December 2007 · 3 yrs 11 mos
Wrp Investments, INC.Broker
December 1995 - December 2007 · 12 yrs
Pruco Securities CorporationBroker
October 1986 - January 1996 · 9 yrs 3 mos
State Registrations2 states
NCOH
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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