Steven C. Ludwig
Professional summary
Steven Charles Ludwig, who also goes by Steve Ludwig, Steven C Ludwig, Steven Ludwig, Steven Charles Ludwig, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Dallas, Texas and M FINANCIAL SECURITIES MARKETING, INC. located in Portland, Oregon.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 34 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Charles Ludwig's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2023 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2699 Howell Street Suite 1100, Dallas, TX 75204October 11, 2023 - Present
M FINANCIAL SECURITIES MARKETING, INC.
Office #1: 1125 Nw Couch Street Suite 900, Portland, OR 97209Office #2: 2699 Howell Street Suite 1100, Dallas, TX 75204October 7, 2019 - March 18, 2022
VALIC FINANCIAL ADVISORS, INC.
September 7, 2016 - June 12, 2018
DEUTSCHE BANK SECURITIES INC.
September 24, 2013 - June 9, 2015
PYRAMIS DISTRIBUTORS CORPORATION LLC
September 24, 2013 - June 9, 2015
NATIONAL FINANCIAL SERVICES LLC
September 24, 2013 - June 9, 2015
FIDELITY DISTRIBUTORS COMPANY LLC
September 24, 2013 - June 9, 2015
FIDELITY DISTRIBUTORS CORPORATION
September 20, 2013 - June 9, 2015
FIDELITY BROKERAGE SERVICES LLC
January 19, 2011 - June 20, 2013
PIMCO INVESTMENTS LLC
June 25, 2007 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
August 1, 2006 - June 4, 2007
PERSHING ADVISOR SOLUTIONS LLC
April 1, 2004 - July 21, 2006
LAZARD ASSET MANAGEMENT SECURITIES LLC
April 30, 2002 - April 1, 2004
LAZARD FRERES & CO. LLC
January 9, 2002 - February 6, 2002
WOLF CAPITAL LLC
November 24, 1999 - February 6, 2002
WOLF FINANCIAL MANAGEMENT, LLC
February 2, 1998 - February 2, 1998
MENTOR SERVICES COMPANY, LLC
February 2, 1998 - October 18, 1999
HEARTLAND INVESTOR SERVICES, LLC
November 20, 1997 - October 15, 1999
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
November 19, 1997 - February 2, 1998
MENTOR SERVICES COMPANY, LLC
November 19, 1997 - March 1, 1999
WILLAMETTE SECURITIES, INC.
November 19, 1997 - October 15, 1999
PROFUNDS DISTRIBUTORS, INC.
November 19, 1997 - October 18, 1999
FTFD FUND DISTRIBUTOR, INC.
November 19, 1997 - October 20, 1999
VICTORY CAPITAL SERVICES, INC.
November 19, 1997 - October 26, 1999
BISYS SHELF B/D (1), INC.
November 19, 1997 - October 26, 1999
FORESIDE INVESTMENT SERVICES, LLC
November 19, 1997 - October 26, 1999
JONES, BYRD, & ATTKISSON, INC.
November 19, 1997 - October 26, 1999
CITI DISTRIBUTION SERVICES, INC.
September 9, 1997 - October 26, 1999
BD COMPLIANCE SOLUTIONS, LLC
September 8, 1997 - October 25, 1999
STI CLASSIC FUND SERVICES, INC
September 8, 1997 - October 26, 1999
NEW COVENANT FUNDS DISTRIBUTOR, INC.
September 8, 1997 - October 26, 1999
EVERGREEN DISTRIBUTOR, INC.
May 12, 1997 - June 30, 1998
MGI FUNDS DISTRIBUTORS, LLC
October 25, 1995 - October 15, 1999
FORESIDE DISTRIBUTION SERVICES, L.P.
January 28, 1994 - August 23, 1995
BANC ONE SECURITIES CORPORATION
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 ExaminationFINRA
Current Firm
M FINANCIAL SECURITIES MARKETING, INC.
CRD#: 139304 / SEC#: , 8-67206
Contact information
FINRA licenses (50 States and Territories)
Documents
Red Flags
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Company Information
M FINANCIAL SECURITIES MARKETING, INC.
CRD#: 139304Dallas, TX 75204TRUST BUT VERIFY
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