Louis Dworsky has been CEO of Zermatt Wealth since January 2020, is a control person of the firm and directly owns under 5% of it.
Zermatt Wealth, LLC is a San Diego, CA firm with $207M under management, 263 clients and 2 advisers across 2 offices, as of its September 2026 filing.
Louis Dworsky’s longest registration was 4 years at Morgan Stanley (2009–2013).
- Zermatt Wealth PartnersAlso current– present · 1 yearWilmington, NC · Adviser representative · Firm CRD 105736
- Zermatt Wealth Partners– · 3 yearsWilmington, NC · Adviser representative · Firm CRD 105736
- Hayden Royal– · 2 yearsCharlotte, NC · Adviser representative · Firm CRD 170037
- Morse Capital Partners, LLC– · 4 yearsCharlotte, NC · Adviser representative · Firm CRD 146383
- Thompson Davis Asset Management– · 3 yearsRaleigh, NC · Adviser representative · Firm CRD 41353
- Platinum Wealth Partners, Inc.– · under a yearTampa, FL · Adviser representative · Firm CRD 145507
- Morgan Stanley– · 4 yearsRaleigh, NC · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsRaleigh, NC · Adviser representative · Firm CRD 8209
- Morgan Stanley– · under a yearRaleigh, NC · Adviser representative · Firm CRD 7556
- Wachovia Securities, LLC– · 3 yearsRaleigh, NC · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 2 yearsRaleigh, NC · Adviser representative · Firm CRD 7471
Investment adviser representative registrations
Louis Dworsky is registered as an investment adviser representative in North Carolina, since February 2025.
- North CarolinaSince 14 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 23 March 2015 |
| Series 65 | Uniform Investment Adviser Law Examination | 29 September 1992 |
| Series 3 | National Commodity Futures Examination | 11 February 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 August 1987 |
| Series 7 | General Securities Representative Examination | 18 July 1987 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Louis David Dworsky
- CRD
- 1689624
- Firm
- Zermatt Wealth · CRD 307404
- Role
- CEO
- Registration
- Investment adviser registration
- In the industry since
- October 1987
- Disciplinary history
- Not yet shown here · SEC record
Where does Louis Dworsky work?
Louis Dworsky has been CEO of Zermatt Wealth, LLC since January 2020, and is a control person of the firm.
Is Louis Dworsky a financial advisor?
Yes. Louis Dworsky has a current investment-adviser registration in North Carolina.
How many years of experience does Louis Dworsky have?
Louis Dworsky has 38 years in the financial industry, since October 1987, across 10 adviser firms.
What exams has Louis Dworsky passed?
Louis Dworsky has passed 5 licensing exams: the Series 7, Series 63, Series 3, Series 65 and Series 24. The earliest, the Series 7, was passed in July 1987. FINRA credited Louis Dworsky with the SIE, which began in October 2018.
Where was Louis Dworsky previously registered as an investment adviser?
Louis Dworsky has past investment-adviser registrations through Zermatt Wealth Partners, December 2021 to December 2024; Hayden Royal, September 2019 to March 2022; Morse Capital Partners, LLC, December 2017 to December 2021; Thompson Davis Asset Management, August 2014 to October 2017; Platinum Wealth Partners, Inc., October 2013 to August 2014; Morgan Stanley, June 2009 to August 2013; Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, March 2007 to April 2007; Wachovia Securities, LLC, July 2003 to March 2007; Prudential Securities Incorporated, December 2000 to July 2003, across 10 firms.
Is Louis Dworsky registered with FINRA?
No. Louis Dworsky has no current broker registration.
How can I verify Louis Dworsky’s record?
Search CRD 1689624 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Louis Dworsky’s full registration record.