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TL

Timothy D. Ludwick

CAPSTONE PARTNERS
Dallas, TX 75021
Some features on this profile are disabled
CRD#: 6098992
TL
Timothy Daniel LudwickCAPSTONE PARTNERS

Professional summary

Timothy Daniel Ludwick, who also goes by Tim Ludwick, is a registered financial professional currently at CAPSTONE PARTNERS located in Dallas, Texas.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2012. Timothy has worked at 7 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Aliases

Tim Ludwick

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 Timothy Daniel Ludwick'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®
None

Experience

Current

September 23, 2026 - Present

CAPSTONE PARTNERS

Office #1: 500 N Akard Street Suite 2350, Dallas, TX 75021
BD
CRD#: 132185
Dallas, TX
Past

April 16, 2024 - September 9, 2026

D.A. DAVIDSON & CO.

BD
CRD#: 199
GREAT FALLS, MT
Past

August 1, 2023 - December 8, 2023

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
Atlanta, GA
Past

July 8, 2021 - August 1, 2023

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
Atlanta, GA
Past

August 2, 2016 - March 18, 2021

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
ATLANTA, GA
Past

June 23, 2015 - August 3, 2016

GREENE HOLCOMB & FISHER LLC

BD
CRD#: 39961
ATLANTA, GA
Past

August 14, 2012 - June 19, 2015

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA

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
Texas
(9/23/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 9/10/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Status Unavailable
Passed: 8/27/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 8/13/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CAPSTONE PARTNERS
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

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

Main Address
10 Post Office Square Suite 800n, Boston, MA 02109
Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109
Phone number
(617) 619-3300
Established
Delaware since 04/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CAPSTONE CORPORATE FINANCE LLCDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
FERRARA, JOHN MARIO IIPRESIDENT2097226
HOHENSTEIN, THOMASCHIEF FINANCIAL OFFICER3123815
JANSON, PAUL EDWARDDIRECTOR4992234
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISEXECUTIVE MANAGING DIRECTOR6419334
SZWAGULAK, JOHNCHIEF COMPLIANCE OFFICER4033023
VALDIVIA, SERENAAML OFFICER7790899

Disclosures

Regulatory Event1

Red Flags

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Company Information

CAPSTONE PARTNERS

CRD#: 132185Dallas, TX 75021

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