Michael S. Ludlow
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Steven Ludlow, who also goes by Michael Steven Ludlow, Mike Ludlow, Michael Ludlow, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2023 - October 3, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 30, 2023 - October 2, 2023
FIDELITY BROKERAGE SERVICES LLC
October 27, 2021 - August 24, 2022
CHARLES SCHWAB & CO., INC.
July 19, 2021 - August 24, 2022
CHARLES SCHWAB & CO., INC.
October 1, 2012 - July 29, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 29, 2015
J.P. MORGAN SECURITIES LLC
May 17, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 17, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 30, 2009 - October 14, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 30, 2009 - October 14, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 5, 2009 - May 14, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 2009 - May 14, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2008 - June 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - June 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 2, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 11, 1997 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 9, 1994 - June 20, 1997
UBS FINANCIAL SERVICES INC.
July 31, 1993 - February 28, 1994
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
June 20, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/17/2021
General Securities Representative ExaminationSeries 8
Date: 11/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
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.
