Rick Loudenback
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.
Rick Loudenback, CFP®, CLU®, who also goes by Charles Richard Loudenback II, Charles Richard Loudenback, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1993. Rick had worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
November 2, 2017 - August 21, 2023
ALERA INVESTMENT ADVISORS, LLC
November 2, 2017 - August 23, 2023
TRIAD ADVISORS LLC
March 10, 2006 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
January 12, 2006 - November 2, 2017
SECURIAN FINANCIAL SERVICES, INC.
April 5, 1999 - December 1, 2005
PRUCO SECURITIES, LLC.
May 25, 1993 - December 1, 2005
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
ALERA INVESTMENT ADVISORS, LLC
CRD#: 287906 / SEC#: 801-111892
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ALERA INVESTMENT ADVISORS, LLC
CRD#: 287906 / SEC#: 801-111892
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,097 |
| AUM (Assets Under Management) | $ 3,572,112,624 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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