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LC

Ludwig J. Cserhat

Some features on this profile are disabled
CRD#: 58240
LC

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.

Ludwig Joseph Cserhat was a registered financial professional .

Ludwig is a previously registered financial professional and started their career in finance in 1970. Ludwig had worked at 7 firms and has passed the PC, Series 1, Series 000 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 4, 2003 - January 31, 2012

U.S. FINANCIAL INVESTMENTS, INC.

BD
CRD#: 120804
NEW, NY
Past

October 17, 2000 - June 25, 2003

U.S. SECURITIES & FUTURES CORP.

BD
CRD#: 36045
NEW YORK, NY
Past

February 15, 2000 - November 2, 2000

INVESTOR'S ADVOCATE, LLC

BD
CRD#: 45801
HOUSTON, TX
Past

July 30, 1991 - November 17, 1999

WOLFF INVESTMENT GROUP INCORPORATED

BD
CRD#: 21930
NEW YORK, NY
Past

August 8, 1978 - February 14, 1991

BAIRD, PATRICK & CO., INC.

BD
CRD#: 1149
FAIRFIELD, NJ
Past

August 7, 1970 - February 18, 1972

MADISON CAPITAL CORPORATION

BD
CRD#: 5644
Past

August 7, 1970 - March 11, 1977

HEINE, FISHBEIN & CO INC

BD
CRD#: 783

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

General Industry/Product Exam
RR
PC
Date: 12/22/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/3/1962
Registered Representative Examination
General Industry/Product Exam
RR
Series 000
Date: 11/17/1961
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 3/24/1969
Registered Principal Examination

Current Firm

UF
U.S. FINANCIAL INVESTMENTS, INC.
U.S. FINANCIAL INVESTMENTS, INC. | US FINANCIAL INVESTMENTS CORP.

CRD#: 120804 / SEC#: , 8-65347

BD
Terminated by SEC on 04/29/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 07/25/2001
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AGARWAL, RAJESHPRESIDENT2083441
AGARWAL, RAJESHCHIEF COMPLIANCE OFFICER2083441
WU, JIPINGCHIEF FINANCIAL OFFICER2177377
HING, RONALD JOHNOPERATIONS PRINCIPLE, ROSFP4580235
BELLINFANTE, RICHARD BMUNICIPLE SECURITIES PRINCIPLE815239

Disclosures

Regulatory Event2

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

U.S. FINANCIAL INVESTMENTS, INC.

CRD#: 120804

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