Brian J. Ludwig
Professional summary
Brian James Ludwig, who also goes by Brian James Ludwig, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian James Ludwig's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003March 31, 2021 - November 25, 2024
HEIGHT CAPITAL MARKETS
May 10, 2016 - March 17, 2020
COMPASS POINT RESEARCH & TRADING, LLC
August 28, 2013 - July 1, 2014
B. RILEY WEALTH MANAGEMENT
September 20, 2010 - November 19, 2012
CRAIG-HALLUM CAPITAL GROUP LLC
January 1, 2007 - August 6, 2010
B. RILEY SECURITIES, 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
(10/15/2024)
(10/15/2024)
Exams
Series 57TO
Date: 6/22/2021
Securities Trader ExamFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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