Louis Portnoy

CRD 839847 · Wells Fargo Advisors · Chicago, IL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 7TOSIESeries 15Series 7Series 10Series 9Series 65Series 63
Registered states (13): Arizona · California · Colorado · Florida · Georgia · Illinois · Indiana · Maryland · Michigan · New Jersey · Texas · Washington · Wisconsin
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (22)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Chicago, IL · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Lincolnwood, IL · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Chicago, IL · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Chicago, IL · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Lincolnwood, IL · IA capacity

start not retrieved → present
Stifel, Nicolaus & Company, Incorporated
Chicago, IL · IA capacity

Mar 16, 2018 → Aug 7, 2019
Stifel, Nicolaus & Company, Incorporated
Chicago, IL · BC capacity

Mar 16, 2018 → Aug 7, 2019
B. C. Ziegler And Company
Rockford, IL · IA capacity

Aug 31, 2012 → Mar 16, 2018
B. C. Ziegler And Company
Rockford, IL · BC capacity

Aug 31, 2012 → Mar 16, 2018
Rbc Capital Markets, LLC
Chicago, IL · IA capacity

Jul 1, 2008 → Sep 13, 2012
Rbc Capital Markets, LLC
Chicago, IL · BC capacity

Jul 1, 2008 → Sep 13, 2012
Oppenheimer & Co. Inc.
Chicago, IL · IA capacity

Nov 5, 2007 → Jul 2, 2008
Oppenheimer & Co. Inc.
Chicago, IL · BC capacity

Jan 3, 2003 → Jul 2, 2008
Oppenheimer Asset Management
New York, NY · IA capacity

Apr 15, 2003 → Nov 12, 2007
Cibc World Markets Corp.
Chicago, IL · IA capacity

Aug 21, 1998 → Jan 3, 2003
Cibc World Markets Corp.
New York, NY · BC capacity

May 26, 1995 → Jan 3, 2003
Painewebber Incorporated
Weehawken, NJ · BC capacity

Jan 28, 1995 → Jun 14, 1995
Kidder, Peabody & Co. Incorporated
New York, NY · BC capacity

Sep 28, 1992 → Jan 28, 1995
Bear, Stearns & Co. Inc.
New York, NY · BC capacity

Mar 14, 1988 → Sep 29, 1992
L. F. Rothschild & Co. Incorporated
BC capacity

Aug 3, 1987 → Apr 14, 1988
Shearson Lehman Brothers Inc.
BC capacity

Oct 20, 1982 → Sep 1, 1987
Lehman Brothers Kuhn Loeb Incorporated
BC capacity

Nov 3, 1982 → Jun 27, 1984

Source & corrections

Where this page comes from

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