Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Dean Ludwick is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian is an active advisor registered in 53 states and the District of Columbia. Brian has been working in the securities industry since 1982. Brian is also registered as an Investment Advisor Representative in Kentucky, Pennsylvania, Texas, and West Virginia. Brian is currently affiliated with the LOS ANGELES branch office of Merrill Lynch.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
06/26/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
NY
12/21/1995 - 11/16/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
08/24/1982 - 12/22/1995
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NA
03/03/1986 - 09/30/1992
PRUCO SECURITIES CORPORATION
NA
11/04/1985 - 03/12/1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
IA
Issued 05/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/06/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/26/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/16/1992
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2013
Series 3 - National Commodity Futures Examination
BC
Issued 03/30/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/28/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/23/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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