Jerry Wayne Ludwig
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jerry Ludwig
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
REGAL ADVISORY SERVICES, INC.
Contact Information
Main Address
950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771Phone Number
(877) 488-6537# of Employees
25SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
274AUM (Assets Under Management)
$121,430,017Similar Advisors
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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.
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Primary Firm SEC Registration
REGAL ADVISORY SERVICES, INC.
State Registrations and Notice Filings
(3/2/2018)
(7/23/2012)
(7/23/2012)
(7/23/2012)
(3/5/2024)
(7/23/2012)
(11/7/2025)
(8/30/2013)
(7/23/2012)
(4/16/2026)
(3/15/2022)
(7/25/2018)
(7/23/2012)
(7/23/2012)
(4/28/2017)
(9/17/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Feb 1989SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Jerry Wayne Ludwig's CRS (Customer Relationship Summary).
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