James F. Ludwick
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.
James Franklin Ludwick, CFP®, who also goes by Jim Ludwick, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 5 firms and has passed the Series 63 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
Start date: 2000
Experience
August 6, 2003 - December 20, 2022
MAINSTREET FINANCIAL PLANNING, INC.
March 16, 2001 - October 30, 2002
FISHER INVESTMENTS
June 13, 2000 - February 9, 2001
CITY NATIONAL SECURITIES, INC.
December 22, 1998 - February 25, 2000
MOMENTUM INDEPENDENT NETWORK INC.
August 11, 1993 - January 10, 1997
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
MAINSTREET FINANCIAL PLANNING, INC.
CRD#: 123189 / SEC#:
Contact information
Red Flags
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