Louis Portnoy

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2012 → 03/2018
  B.C. Ziegler And Company
  Chicago, IL
• 03/2018 → 07/2019
  Stifel, Nicolaus & Company, Incorporated
  Chicago, IL
• 07/2019 → Present
  Wells Fargo Clearing Services Llc
  Chicago, IL

Previous Registrations

• 2018-03-16 → 2019-08-07
  Stifel, Nicolaus & Company, Incorporated
  Chicago, IL
  Chicago, IL
• 2012-08-31 → 2018-03-16
  B. C. Ziegler And Company
  Rockford, IL
  Chicago, IL
  Chicago, IL
• 2008-07-01 → 2012-09-13
  Rbc Capital Markets, Llc
  Chicago, IL
• 2003-01-03 → 2008-07-02
  Oppenheimer & Co. Inc.
  Chicago, IL
  Chicago, IL
• 2003-04-15 → 2007-11-12
  Oppenheimer Asset Management
  New York, NY
• 1998-08-21 → 2003-01-03
  Cibc World Markets Corp.
  Chicago, IL

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-01-10
• S63 Uniform Securities Agent State Law Examination
  1980-06-19