JL
Jerry W. Ludwig
REGAL ADVISORY SERVICES
BRYAN, TX 77802
Some features on this profile are disabled
CRD#: 1255480
JL
Professional summary
Jerry Wayne Ludwig, who also goes by Jerry Ludwig, is a registered financial advisor currently at REGAL ADVISORY SERVICES, INC. located in Bryan, Texas and REGAL SECURITIES, INC. located in Bryan, Texas.
Jerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Jerry has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jerry Ludwig
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
2. JERRY LUDWIG CONSULTING, INVESTMENT RELATED, PO BOX 3268, COLLEGE STATION, TX, 77802, SECURITIES ARBITRATION -EXPERT WITNESS, CONSULTANT, 37623, 5 TO 10 HOURS A MONTH HOURS A MONTH, 0 DURING TRADING HOURS, WRITE EXPERT OPINIONS FOR SECURITIES ARBITRATION CLAIMS, EXPERT WITNESS. 3. INDEPENDENT BROKERS GROUP, INVESTMENT RELATED, 1716 BRIARCREST DRIVE, BRYAN, TX 77802, CONDUCT BROKERAGE BUSINESS THRU REGAL SECURITIES, INSURANCE... ANNUITIES, INDEPENDENT BROKER, 34977, 5 TO 10 HOURS A MONTH HOURS A MONTH, 0 DURING TRADING HOURS, INDEPENDENT STOCK BROKER...INDEPENDENT CONTRACTOR 4. CBI LP, NOT INVESTMENT RELATED, 1817 LAKE AVE, KNOXVILLE, TN, 37916, BAR & GRILL, LIMITED PARTNER, 35065, 0 HOURS A MONTH, 0 DURING TRADING HOURS, NONE 5. RATSO RIZZO INC, NOT INVESTMENT RELATED, 148 W MOUNTAIN AVE, FT COLLINS, CO 80524, BAR & GRILL, PASSIVE SHAREHOLDER, 35431, <1 HOURS A MONTH HOURS A MONTH, 0 DURING TRADING HOURS 6. SAMUEL GLEN INC, NOT INVESTMENT RELATED, 152 W MOUNTAIN AVE, FT COLLINS, CO 80524, BAR & GRILL, PASSIVE SHAREHOLDER, 36161, <1 HOURS A MONTH HOURS A MONTH, 0 DURING TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Jerry Wayne Ludwig's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 23, 2012 - Present
REGAL ADVISORY SERVICES, INC.
Office #1: 1716 Briarcrest Ste 602, Bryan, TX 77802RIA
CRD#: 123842
BRYAN, TX
Current
July 23, 2012 - Present
REGAL SECURITIES, INC.
Office #1: 1716 Briarcrest Dr., Suite 602, Bryan, TX 77802BD
CRD#: 7297
Bryan, TX
Past
March 24, 2010 - July 23, 2012
BROKERSXPRESS LLC
RIA
CRD#: 127081
BRYAN, TX
Past
March 24, 2010 - July 23, 2012
BROKERSXPRESS LLC
BD
CRD#: 127081
BRYAN, TX
Past
August 15, 2002 - March 26, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
BRYAN, TX
Past
November 6, 2000 - March 26, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
BRYAN, TX
Past
November 10, 1995 - November 8, 2000
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
MINNEAPOLIS, MN
Past
January 1, 1991 - November 13, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 11, 1988 - January 1, 1991
ROTAN MOSLE INC.
BD
CRD#: 727
Past
April 18, 1984 - May 5, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.
CRD#: 123842 / SEC#: 801-71619
RIA
Registered Investment Advisory firm - (7/12/2010 Approved)Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (7/13/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/2/2018)
RR
California(7/23/2012)
RR
Colorado(7/23/2012)
RR
Florida(7/23/2012)
RR
Georgia(3/5/2024)
RR
Indiana(7/23/2012)
RR
Iowa(11/7/2025)
RR
Minnesota(8/30/2013)
RR
Nevada(7/23/2012)
RR
Oklahoma(3/15/2022)
RR
Oregon(7/25/2018)
RR
Texas(7/23/2012)
IAR
Texas(7/23/2012)
RR
Virginia(4/28/2017)
RR
Washington(9/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 2/17/1989
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.
CRD#: 123842 / SEC#: 801-71619
RIA
Registered Investment Advisory firm - (7/12/2010 Approved)Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (7/13/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771
Mailing Address
Phone number
(877) 488-6537
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 289 |
| AUM (Assets Under Management) | $ 113,536,443 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
