BARAJAS, LOUIS (NMN)
Legal name: LOUIS BARAJAS & ASSOCIATES
CRD #130912 SEC #801-70882 SANTA FE SPRINGS, CA 562-347-0070
SEC Registered
Total AUM
$50.9M
Discretionary
$0
Employees
6
Clients
101
Accounts
311
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 30, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARAJAS, LOUIS | I | OWNER | E | Control |
| BARAJAS, LOUIS | I | OWNER | E | Control |
| BARAJAS, LOUIS | I | OWNER | E | Control |
| BARAJAS, LOUIS, (NMN) | I | OWNER/CHIEF COMPLIANCE OFFICER | E | Control |
| BARAJAS, LOUIS, (NMN) | I | OWNER/CHIEF COMPLIANCE OFFICER | E | Control |
| BARAJAS, LOUIS, (NMN) | I | OWNER/CHIEF COMPLIANCE OFFICER | E | Control |
| BARAJAS, LOUIS, (NMN) | I | OWNER/CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Apr 30, 2012 REGISTERED
Notice Filings (4)
CA FL NM TX
Address
10330 PIONEER BLVD.SUITE 250
SANTA FE SPRINGS, CA 90670
United States
Phone: 562-347-0070