Roy C. Ludwick
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.
Roy Carl Ludwick was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1985. Roy had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2001 - May 12, 2004
OMNIVEST, INC.
October 16, 2001 - January 4, 2023
BOULDER WEALTH ADVISORS, LLC
February 14, 1985 - November 14, 2001
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
OMNIVEST, INC.
CRD#: 13396 / SEC#: , 8-29259
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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