Alfred C. Ludlum
Professional summary
Alfred Clay Ludlum III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alfred is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Alfred had worked at 6 firms, which includes PRINTZ CAPITAL MANAGEMENT LLC, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FINANCIAL HORIZONS SECURITIES CORPORATION, CITICORP INVESTMENT SERVICES, CITICORP FINANCIAL SERVICESINC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2006 - June 27, 2011
PRINTZ CAPITAL MANAGEMENT, LLC
September 22, 2006 - December 31, 2006
PRINTZ CAPITAL MANAGEMENT, LLC
December 15, 2003 - August 23, 2006
CITIGROUP GLOBAL MARKETS INC.
December 12, 2003 - August 23, 2006
CITIGROUP GLOBAL MARKETS INC.
July 30, 1997 - December 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1996 - December 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 1993 - July 17, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - October 25, 1996
CITICORP INVESTMENT SERVICES
January 15, 1992 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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