Michael W. Ludwig
Professional summary
Michael Watts Ludwig was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Michael had worked at 5 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, FERRIS BAKER WATTS LLC, FIRST UNION CAPITAL MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2007 - September 28, 2012
ALLSTATE FINANCIAL SERVICES, LLC
July 1, 2003 - October 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - October 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 24, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 15, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 28, 1994 - May 21, 1998
FERRIS, BAKER WATTS, LLC
December 9, 1991 - November 2, 1994
FIRST UNION CAPITAL MARKETS CORP.
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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