Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian James Ludwig is a financial advisor with Height Capital Markets. Brian has been in the financial services industry since 2010 and has held positions at several firms, including Compass Point Research & Trading, LLC, Wunderlich Securities, Inc., and Craig-Hallum Capital Group LLC. Brian is licensed to sell securities in the District of Columbia and Massachusetts and holds the following licenses: Series 66, Series 63, Series 4, Series 57TO, SIE, and Series 7.
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.
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.
1
2
DC
03/31/2021 - Present
Height Capital Markets (WASHINGTON DC)
MA
05/10/2016 - 03/17/2020
COMPASS POINT RESEARCH & TRADING, LLC (BOSTON MA)
MA
08/28/2013 - 07/01/2014
WUNDERLICH SECURITIES, INC. (BOSTON MA)
MA
09/20/2010 - 11/19/2012
CRAIG-HALLUM CAPITAL GROUP LLC (BOSTON MA)
MA
01/01/2007 - 08/06/2010
FBR CAPITAL MARKETS & CO. (BOSTON MA)
BOTH
Issued 09/17/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/29/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/20/2024
Series 4 - Registered Options Principal Examination
BC
Issued 06/22/2021
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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