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BL

Brian J. Ludwig

COMPASS POINT RESEARCH & TRADING
Washington, DC 20007
Some features on this profile are disabled
CRD#: 4771305
BL

Professional summary

Brian James Ludwig, who also goes by Brian James Ludwig, Brian Ludwig, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.

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

Are you a "fiduciary"?
No

Aliases

Brian James Ludwig | Brian 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian James Ludwig's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 6, 2026 - Present

COMPASS POINT RESEARCH & TRADING, LLC

Office #1: 1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007
BD
CRD#: 126258
Washington, DC
Past

October 15, 2024 - February 18, 2026

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

March 31, 2021 - November 25, 2024

HEIGHT CAPITAL MARKETS

BD
CRD#: 150659
WASHINGTON, DC
Past

May 10, 2016 - March 17, 2020

COMPASS POINT RESEARCH & TRADING, LLC

BD
CRD#: 126258
BOSTON, MA
Past

August 28, 2013 - July 1, 2014

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
BOSTON, MA
Past

September 20, 2010 - November 19, 2012

CRAIG-HALLUM CAPITAL GROUP LLC

BD
CRD#: 121395
BOSTON, MA
Past

January 1, 2007 - August 6, 2010

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
BOSTON, MA

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
District of Columbia
(2/6/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/17/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 6/22/2021
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/20/2024
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CP
COMPASS POINT RESEARCH & TRADING, LLC
COMPASS POINT | COMPASS POINT RESEARCH & TRADING, LLC

CRD#: 126258 / SEC#: , 8-65866

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007
Mailing Address
1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007
Phone number
(202) 540-7300
Established
Delaware since 01/25/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOONER HOLDINGS, LLCHOLDING COMPANY
DOERR, MANDY MULLERFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)4988605
DREYER, SCOTT ERICEXECUTIVE CHAIRMAN717434
GRANT, KEVIN STEWARTCHIEF COMPLIANCE OFFICER6383394
HAYES, BURKE FROST JRCEO3211858
NEALON, CHRISTOPHER ALLENCHIEF OPERATING OFFICER2447167
NICOLL, ROBERT ANDREWMEMBER2826685
SHEEDY, THOMAS WILLIAMMEMBER1777044

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.

Company Information

COMPASS POINT RESEARCH & TRADING, LLC

CRD#: 126258Washington, DC 20007

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