Louis Martin Wolfson

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-01-30
NY	RA	APPROVED	2021-03-31

TX RA
APPROVED_RES

Since 2023-01-30
NY RA
APPROVED

Since 2021-03-31

Branch Locations

Staten Island, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Brooklyn	NY	05/2008	06/2019
Cetera Investment Advisers Llc	Brooklyn	NY	06/2019	Present
Cetera Investment Services Llc	St. Cloud	MN	06/2019	Present

05/2008 → 06/2019

Lpl Financial, Llc

Brooklyn, NY
06/2019 → Present

Cetera Investment Advisers Llc

Brooklyn, NY
06/2019 → Present

Cetera Investment Services Llc

St. Cloud, MN

Previous Registrations

2008-05-27 → 2019-07-11

Lpl Financial Llc

Brooklyn, NY

Brooklyn, NY

Brooklyn, NY

Brooklyn, NY

Brooklyn, NY
2003-07-21 → 2008-05-27

Ifmg Securities, Inc.

Brooklyn, NY

Brooklyn, NY

Brooklyn, NY

Other Businesses

1. GGW FINANCIAL GROUP 2. INSURANCE BUSINESS OUTSIDE CETERA WITH RESTRICTIONS

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-06-27
S63	Uniform Securities Agent State Law Examination	1988-08-26

S66 Uniform Combined State Law Examination

2003-06-27
S63 Uniform Securities Agent State Law Examination

1988-08-26

Other Names

Louis M Wolfson

View on SEC IAPD