Virgil K. Ludwig
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.
Virgil Keith Ludwig, who also goes by Keith Ludwig, was a registered financial professional .
Virgil is a previously registered financial professional and started their career in finance in 1984. Virgil had worked at 5 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2010 - March 14, 2012
SPC
September 9, 2010 - March 14, 2012
SIGMA FINANCIAL CORPORATION
December 23, 1985 - March 30, 1987
FIFTH THIRD SECURITIES, INC.
October 26, 1984 - November 20, 1985
MUTUAL SERVICE CORPORATION
August 13, 1984 - October 29, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
