Ladd M. Duda
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.
Ladd Michael Duda was a registered financial professional .
Ladd is a previously registered financial professional and started their career in finance in 1973. Ladd had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2011 - August 6, 2022
FELTL & COMPANY
March 25, 2010 - December 5, 2011
FINTEGRA, LLC
April 11, 2006 - March 19, 2010
B. RILEY WEALTH MANAGEMENT
April 22, 2002 - April 25, 2006
HOWE BARNES HOEFER & ARNETT, INC.
March 9, 2002 - May 6, 2002
RBC CAPITAL MARKETS, LLC
May 6, 1997 - March 9, 2002
TUCKER ANTHONY INCORPORATED
October 19, 1994 - May 14, 1997
RODMAN & RENSHAW INC.
June 14, 1986 - October 18, 1994
THE CHICAGO CORPORATION
February 24, 1978 - September 22, 1979
MORGAN STANLEY DW INC.
April 23, 1973 - June 2, 1986
BLUNT ELLIS & LOEWI INCORPORATED
April 2, 1973 - February 24, 1978
REYNOLDS SECURITIES, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 10/19/1979
AMEX Put and Call ExamSeries 000
Date: 4/23/1973
General Securities Principal ExaminationSeries 1
Date: 3/19/1973
Registered Representative ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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