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NL

Nancy L. Ludwig

INSPEREX LLC
Delray Beach, FL 33483
Some features on this profile are disabled
CRD#: 2242490
NL

Professional summary

Nancy Lynn Ludwig, who also goes by Nancy L Wagner, Nancy Lynn Wagner, is a registered financial professional currently at INSPEREX LLC located in Delray Beach, Florida.

Nancy is registered as a RR (Registered Representative) and started their career in finance in 1994. Nancy has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nancy L Wagner | Nancy Lynn Wagner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nancy Lynn Ludwig's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 7, 2008 - Present

INSPEREX LLC

Office #1: 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483
BD
CRD#: 101420
Delray Beach, FL
Past

January 1, 2002 - March 10, 2008

LASALLE FINANCIAL SERVICES, INC.

RIA
CRD#: 20373
BOCA RATON, FL
Past

June 1, 2001 - March 10, 2008

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

June 3, 1999 - June 6, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

August 16, 1996 - March 16, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 8, 1994 - May 31, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/17/2010)
RR
Colorado
(10/6/2016)
RR
Connecticut
(11/21/2017)
RR
Florida
(3/7/2008)
RR
Illinois
(3/7/2008)
RR
Iowa
(11/21/2017)
RR
Massachusetts
(11/21/2017)
RR
Michigan
(2/17/2010)
RR
Mississippi
(10/16/2009)
RR
Missouri
(10/6/2011)
RR
New Jersey
(3/31/2011)
RR
New York
(3/31/2011)
RR
North Carolina
(11/22/2017)
RR
Ohio
(7/15/2013)
RR
Pennsylvania
(11/21/2017)
RR
Texas
(11/21/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/10/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/12/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IL
INSPEREX LLC
INCAPITAL | INTEGRATED INVESTMENTS, L.L.C. | INTEGRATED CAPITAL, LLC | INSPEREX LLC | INSPEREX | INCAPITAL, LLC | INCAPITAL LLC

CRD#: 101420 / SEC#: , 8-52081

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
25 Se 4th Avenue Suite 400, Delray Beach, FL 33483
Mailing Address
233 South Wacker Drive Suite 4400, Chicago, IL 60606
Phone number
(312) 379-3700
Established
Delaware since 09/01/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INSPEREX HOLDINGS LLCMEMBER: VOTING
BUSSCHER, ARNOLD BRADLEYCHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL2213934
CARRELS, CHRISTINE ANNCHIEF MARKETING OFFICER6651750
DEEG, ADITI DAVARECHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP4279152
ELLIOTT, LAURA SUEPRESIDENT2125558
LEHRMAN, IRACHIEF TECHNOLOGY OFFICER2577289
MITCHELL, SCOTT ALEXANDERCHIEF EXECUTIVE OFFICER4717597
NICHOLSON, MARSHALL ALLENHEAD OF STRATEGIC INITIATIVES4585471
PAPAGIANNIS, JAMES JOHNCHIEF COMPLIANCE OFFICER & AMLCO2449960
TOLAR, JOHN MHEAD OF FIXED INCOME SALES & TRADING3075402

Disclosures

Regulatory Event1

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.

Company Information

INSPEREX LLC

CRD#: 101420Delray Beach, FL 33483

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