Ryan J. Ludgate
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.
Ryan James Ludgate was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2004. Ryan had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2009 - May 21, 2014
BARCLAYS CAPITAL INC.
March 6, 2009 - May 21, 2014
BARCLAYS CAPITAL INC.
September 19, 2008 - March 3, 2009
NEUBERGER BERMAN BD LLC
September 19, 2008 - March 3, 2009
NEUBERGER BERMAN BD LLC
February 15, 2008 - September 24, 2008
LEHMAN BROTHERS INC.
February 15, 2008 - September 24, 2008
LEHMAN BROTHERS INC.
August 22, 2006 - February 15, 2008
NEUBERGER BERMAN MANAGEMENT LLC
August 21, 2006 - February 15, 2008
NEUBERGER BERMAN MANAGEMENT LLC
October 24, 2005 - August 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 24, 2005 - August 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 4, 2004 - September 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2004 - September 7, 2005
IDS LIFE INSURANCE COMPANY
July 7, 2004 - September 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
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.
