William K. Ludolph
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.
William Kellett Ludolph, who also goes by Bill Ludolph, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 12 firms and has passed the Series 63, SIE, Series 000, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2014 - January 9, 2019
CHARLES SCHWAB & CO., INC.
November 30, 2012 - June 27, 2014
LEBENTHAL & CO., LLC
January 12, 2010 - December 17, 2012
CHARLES SCHWAB & CO., INC.
November 21, 2000 - September 16, 2003
ZURICH CAPITAL MARKETS SECURITIES, INC.
April 1, 1999 - July 13, 1999
BANC ONE CAPITAL MARKETS, INC.
March 5, 1998 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
June 13, 1996 - March 17, 1998
CIBC WORLD MARKETS CORP.
December 3, 1987 - February 28, 1995
PERSHING LLC
October 23, 1984 - November 3, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
June 14, 1983 - September 27, 1984
LEHMAN BROTHERS INC.
April 3, 1978 - August 5, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 14, 1976 - March 7, 1978
CREDIT SUISSE SECURITIES (USA) LLC
April 5, 1974 - September 26, 1976
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 000
Date: 4/1/1974
General Securities Principal ExaminationSeries 1
Date: 4/1/1974
Registered Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
