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Louis Wolfson
37 Years of Experience
Staten Island, NY
1 DisclosureBrokerSells Insurance
Louis Wolfson is a registered investment advisor at Cetera Investment Advisers LLC, based in Staten Island, NY, with 37 years of industry experience. Louis operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Staten Island, NY
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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2002Denied
Other Business ActivitiesSells Insurance
Louis is involved with GGW Financial Group and an insurance business outside of Cetera, subject to restrictions. The filing does not specify the time commitment for these activities.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2019 - Present · 6 yrs 11 mos
Cetera Investment Services LLCBroker
June 2019 - Present · 6 yrs 11 mos
Previous Registrations
Financial Resources Group Investment Services, LLCBroker
May 2018 - June 2019 · 1 yr 1 mo
LPL Financial LLCBroker
May 2008 - July 2019 · 11 yrs 2 mos
LPL Financial LLC
May 2008 - July 2019 · 11 yrs 2 mos
Ifmg Securities, INC.
July 2003 - May 2008 · 4 yrs 10 mos
Ifmg Securities, INC.Broker
January 2003 - May 2008 · 5 yrs 4 mos
Wm Financial Services, INC.Broker
May 2002 - January 2003 · 8 mos
Dime Securities, INC.Broker
September 1998 - May 2002 · 3 yrs 8 mos
Pruco Securities CorporationBroker
July 1988 - September 1998 · 10 yrs 2 mos
The Prudential Insurance Company of AmericaBroker
July 1988 - December 1993 · 5 yrs 5 mos
State Registrations11 states
CAFLGAMANJNYPARITXVAWY
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.