KL
Kathleen M. Ludwig
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES
SEATTLE, WA 98101
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CRD#: 4877250
KL
Professional summary
Kathleen Marie Ludwig, who also goes by Marie Ludwig Kathleen, Katie Marie Ludwig, is a registered financial professional currently at RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC located in Seattle, Washington.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2005. Kathleen has worked at 1 firm and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marie Ludwig Kathleen | Katie Marie 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 Kathleen Marie 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
March 12, 2019 - Present
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
Office #1: 401 Union St 18th Floor, Seattle, WA, 98101RIA
BD
CRD#: 329
SEATTLE, WA
Past
July 21, 2005 - April 6, 2017
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
BD
CRD#: 329
SEATTLE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
FRANK RUSSELL CO., INC. | RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC | RUSSELL INVESTMENTS | RUSSELL INVESTMENT GROUP | RUSSELL IMPLEMENTATION SERVICES, INC. PART OF RUSSELL INVMT GRP | RUSSELL IMPLEMENTATION SERVICES, INC. | RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS | RUSSELL IMPLEMENTATION SERVICES INC. | FRANK RUSSELL SECURITIES, INC. PART OF RUSSELL INVESTMENT GROUP | FRANK RUSSELL SECURITIES, INC.
CRD#: 329 / SEC#: 801-60335, 8-220
RIA
Registered Investment Advisory firm - SEC (6/13/2001 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/24/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
FRANK RUSSELL CO., INC. | RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC | RUSSELL INVESTMENTS | RUSSELL INVESTMENT GROUP | RUSSELL IMPLEMENTATION SERVICES, INC. PART OF RUSSELL INVMT GRP | RUSSELL IMPLEMENTATION SERVICES, INC. | RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS | RUSSELL IMPLEMENTATION SERVICES INC. | FRANK RUSSELL SECURITIES, INC. PART OF RUSSELL INVESTMENT GROUP | FRANK RUSSELL SECURITIES, INC.
CRD#: 329 / SEC#: 801-60335, 8-220
RIA
Registered Investment Advisory firm - SEC (6/13/2001 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
401 Union St 18th Floor 18th Floor, Seattle, WA, 98101
Mailing Address
401 Union St 18th Floor, Seattle, WA, 98101
Phone number
(206) 505-7877
Established
Washington since 06/02/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
589
SEC notice filing (2 States and Territories)
FINRA licenses (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC. | OWNER | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| CURRAN, AMY ELIZABETH | US ADVISER CHIEF COMPLIANCE OFFICER | 4876594 |
| EL-HILLOW, KATHERINE ANNE | DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER | 4889284 |
| LENZO, JASON ABRAM | DIRECTOR | 2972909 |
| OSTROVSKY, AARON ALEXANDER | DIRECTOR | 7851945 |
| PALTROWITZ, MARK DAVID | CHIEF RISK OFFICER | 2787627 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Regulatory assets under management
| Total Number of Accounts | 152 |
| AUM (Assets Under Management) | $ 79,682,796,997 |
Disclosures
| Regulatory Event | 3 |
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.
