ML
Michael D. Ludwig
BNY MELLON CAPITAL MARKETS
LAKE MARY, FL 32746
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CRD#: 4246885
ML
Michael Dean LudwigBNY MELLON CAPITAL MARKETS
Professional summary
Michael Dean Ludwig, who also goes by Michael D Ludwig, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in Lake Mary, Florida and PERSHING LLC located in Lake Mary, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 7 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Aliases
Michael D Ludwig
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael Dean Ludwig's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 4, 2022 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 300 Colonial Center Parkway, Lake Mary, FL 32746BD
CRD#: 17454
LAKE MARY, FL
Current
October 17, 2023 - Present
PERSHING LLC
Office #1: 300 Colonial Center Parkway, Lake Mary, FL 32746BD
CRD#: 7560
LAKE MARY, FL
Past
June 25, 2021 - September 14, 2022
STONEX FINANCIAL INC.
BD
CRD#: 45993
Pittsburgh, PA
Past
April 22, 2011 - June 14, 2021
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
PITTSBURGH, PA
Past
May 19, 2006 - August 14, 2006
GELBER SECURITIES, LLC
BD
CRD#: 18367
CHICAGO, IL
Past
August 16, 2002 - April 24, 2006
GELBER SECURITIES, LLC
BD
CRD#: 18367
CHICAGO, IL
Past
June 1, 2001 - October 16, 2001
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
June 1, 2001 - October 16, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
September 5, 2000 - April 10, 2001
HENNION & WALSH, INC.
BD
CRD#: 25766
PARSIPPANY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/6/2022)
RR
Alaska(10/5/2022)
RR
Arizona(10/4/2022)
RR
Arkansas(10/4/2022)
RR
California(10/4/2022)
RR
Colorado(10/4/2022)
RR
Connecticut(10/4/2022)
RR
Delaware(10/4/2022)
RR
District of Columbia(10/4/2022)
RR
Florida(10/4/2022)
RR
Georgia(10/4/2022)
RR
Hawaii(10/7/2022)
RR
Idaho(10/4/2022)
RR
Illinois(10/21/2022)
RR
Indiana(10/4/2022)
RR
Iowa(10/4/2022)
RR
Kansas(10/4/2022)
RR
Kentucky(10/4/2022)
RR
Louisiana(10/4/2022)
RR
Maine(10/4/2022)
RR
Maryland(10/4/2022)
RR
Massachusetts(10/4/2022)
RR
Michigan(10/4/2022)
RR
Minnesota(10/6/2022)
RR
Mississippi(10/4/2022)
RR
Missouri(10/4/2022)
RR
Montana(10/4/2022)
RR
Nebraska(10/4/2022)
RR
Nevada(10/4/2022)
RR
New Hampshire(10/4/2022)
RR
New Jersey(10/4/2022)
RR
New Mexico(10/4/2022)
RR
New York(10/4/2022)
RR
North Carolina(10/4/2022)
RR
North Dakota(10/4/2022)
RR
Ohio(10/4/2022)
RR
Oklahoma(10/4/2022)
RR
Oregon(10/4/2022)
RR
Pennsylvania(10/4/2022)
RR
Puerto Rico(10/4/2022)
RR
Rhode Island(10/4/2022)
RR
South Carolina(10/4/2022)
RR
South Dakota(10/4/2022)
RR
Tennessee(10/4/2022)
RR
Texas(10/4/2022)
RR
Utah(10/4/2022)
RR
Vermont(10/4/2022)
RR
Virginia(10/4/2022)
RR
Washington(10/4/2022)
RR
West Virginia(10/4/2022)
RR
Wisconsin(10/4/2022)
RR
Wyoming(10/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/18/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/24/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
PL
PERSHING LLC
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION
CRD#: 7560 / SEC#: , 8-17574
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
