Benjamin J. Ludwig
Professional summary
Benjamin John Ludwig is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Schweksville, Pennsylvania and CNR SECURITIES, LLC located in New York, New York.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Benjamin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin John Ludwig's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2014 - Present
CITY NATIONAL ROCHDALE
April 9, 2014 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022July 27, 2006 - March 14, 2014
BNY ADVISORS
May 11, 2005 - March 14, 2014
PERSHING LLC
March 12, 2002 - November 18, 2004
SEI INVESTMENTS DISTRIBUTION CO.
September 15, 1999 - May 31, 2001
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/21/2016)
(4/9/2014)
(4/9/2014)
(1/21/2016)
(4/9/2014)
(2/6/2024)
(11/6/2017)
(11/18/2014)
(5/19/2016)
(11/6/2017)
(9/12/2018)
(8/12/2022)
(4/16/2021)
(6/12/2019)
(1/21/2016)
(11/18/2014)
(7/13/2015)
(3/26/2019)
(11/6/2017)
(11/6/2017)
(4/9/2014)
(5/29/2025)
(4/9/2014)
(1/25/2016)
(3/7/2018)
(8/28/2020)
(4/9/2014)
(10/24/2017)
(5/19/2016)
(4/16/2021)
(7/13/2015)
(1/21/2016)
(2/13/2025)
(4/9/2020)
(3/26/2019)
(7/13/2015)
(4/9/2020)
(2/5/2024)
(8/28/2020)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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