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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Benedict Ludwig is an active investment advisor representative with UBS Financial Services Inc. based in Boca Raton, Florida. Michael has been working in the financial services industry since 1986. Michael has a broad range of experience, having worked with several firms throughout his career. Michael holds several industry licenses including Series 3, 7, 9, 10, 14, 24, 27, 63, 65, 99TO, and SIE. Michael is also registered as an investment advisor in Florida, and has previously held registrations in several other states. Michael is a well-seasoned financial professional with deep knowledge of the financial markets.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
See schedule d - miscellaneous
1
2
FL
08/23/2006 - Present
UBS Financial Services Inc. (BOCA RATON FL)
FL
07/01/2003 - 08/23/2006
WACHOVIA SECURITIES, LLC (PALM BEACH FL)
NY
08/01/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
09/27/1993 - 08/16/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
11/02/1992 - 08/16/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
11/25/1991 - 10/16/1992
FIRST INVESTORS CORPORATION (EDISON NJ)
NJ
04/30/1986 - 02/08/1991
DONALD & CO. SECURITIES INC. (TINTON FALLS NJ)
IA
Issued 11/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/25/1993
Series 14 - Compliance Officer Examination
BC
Issued 01/04/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/29/1992
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/13/1992
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1993
Series 3 - National Commodity Futures Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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