Patricia A. Ludwig
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.
Patricia Aileen Ludwig, who also goes by Patricia Aileen Hanwacker, Patricia Ludwig Hanwacker, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2009. Patricia had worked at 3 firms and has passed the Series 66, SIE 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
September 14, 2016 - January 3, 2022
SUNRIVER CAPITAL INC
January 5, 2011 - April 21, 2016
CETERA WEALTH SERVICES, LLC
January 4, 2011 - April 21, 2016
CETERA WEALTH SERVICES, LLC
January 7, 2010 - January 24, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
December 16, 2009 - January 24, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUNRIVER CAPITAL INC
CRD#: 284584 / SEC#:
Contact information
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.
