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Louis Edward Perkins
LOUIS EDWARD PERKINS JR
CRD#: 1816759
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 514 BROOKS STREET
SUGAR LAND, TX 77478
SUGAR LAND, TX 77478
CETERA ADVISOR NETWORKS LLCCRD#: 13572 514 Brooks Street
Sugar Land, TX 77478
Sugar Land, TX 77478
View By:
4/23/2013
Customer Dispute
Settled
State Registrations
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California 2/20/2025
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New Mexico 2/20/2025
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Colorado 2/20/2025
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New York 2/20/2025
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Florida 2/20/2025
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North Carolina 2/20/2025
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Georgia 2/20/2025
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North Dakota 2/20/2025
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Indiana 2/20/2025
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Ohio 2/20/2025
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Louisiana 2/20/2025
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Oklahoma 3/31/2025
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Massachusetts 2/20/2025
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Pennsylvania 2/20/2025
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Minnesota 2/20/2025
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South Carolina 2/20/2025
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Mississippi 2/20/2025
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Texas 2/20/2025
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Nebraska 2/20/2025
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Texas 2/20/2025
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Nevada 2/20/2025
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Washington 2/20/2025
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 2/20/2025
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Registered with this firm since 2/20/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/18/2017 - 02/20/2025 | Sugar Land, TX | |
B | 08/17/2017 - 02/20/2025 | Sugar Land, TX | |
IA | 09/02/1997 - 08/29/2017 | PASADENA, TX | |
B | 09/02/1997 - 08/29/2017 | PASADENA, TX | |
IA | 01/02/1998 - 07/28/2006 | PASADENA, TX | |
B | 12/11/1992 - 08/29/1997 | WELLESLEY HILLS, MA | |
B | 08/29/1990 - 12/14/1992 | ||
B | 04/18/1990 - 10/31/1990 | ST. PAUL, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.