Daniel T. 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.
Daniel Thomas Ludwig, CFA was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2017 - December 24, 2018
ALPS DISTRIBUTORS, INC.
January 8, 2014 - February 9, 2017
ALPS DISTRIBUTORS, INC.
January 3, 2005 - October 27, 2005
MWAM DISTRIBUTORS, LLC
February 27, 2002 - December 31, 2004
FORESIDE FUNDS DISTRIBUTORS LLC
July 24, 1998 - July 23, 2001
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 1, 1996 - June 19, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
February 16, 1993 - February 27, 1995
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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