Gretchen 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.
Gretchen Ludwig, who also goes by Gretchen Renae Kieffer, Gretchen Renee Kieffer, Gretchen Kieffer, Greta Renee Ludwig, Greta Ludwig, Gretchen Renae Ludwig, Gretchen Renee Ludwig, was a registered financial professional .
Gretchen is a previously registered financial professional and started their career in finance in 2011. Gretchen had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2026 - April 9, 2026
HIGHTOWER SECURITIES, LLC
January 13, 2026 - April 9, 2026
HIGHTOWER ADVISORS, LLC
April 1, 2025 - May 20, 2025
OSAIC WEALTH, INC.
April 1, 2025 - May 20, 2025
OSAIC WEALTH, INC.
November 18, 2024 - December 13, 2024
LPL FINANCIAL LLC
November 18, 2024 - December 13, 2024
LPL FINANCIAL LLC
January 19, 2024 - November 21, 2024
OSAIC WEALTH, INC.
January 19, 2024 - November 21, 2024
OSAIC WEALTH, INC.
July 18, 2023 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
July 18, 2023 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
August 2, 2022 - May 26, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 2, 2022 - May 26, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 23, 2019 - August 25, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 23, 2019 - August 25, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 7, 2018 - January 9, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 24, 2016 - January 9, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 19, 2015 - May 27, 2016
RAYMOND JAMES & ASSOCIATES, INC.
June 19, 2015 - May 27, 2016
RAYMOND JAMES & ASSOCIATES, INC.
January 16, 2015 - May 5, 2015
RAYMOND JAMES & ASSOCIATES, INC.
January 15, 2015 - May 5, 2015
RAYMOND JAMES & ASSOCIATES, INC.
November 15, 2011 - September 2, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
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
Current Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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