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GL

Gregory J. Ludwig

GUIDANCE CAPITAL
Louisville, KY 40245
Some features on this profile are disabled
CRD#: 7347555
GL

Professional summary

Gregory John Ludwig, who also goes by Greg John Ludwig, Greg Ludwig, Gregory John Ludwig, is a registered financial advisor currently at GUIDANCE CAPITAL, INC. located in Louisville, Kentucky.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Gregory has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Greg John Ludwig | Greg Ludwig | Gregory John 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.
Licensed insurance professional; same address; non-advisory; less than 10% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Ludwig's CRS (Customer Relationship Summary).
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

October 28, 2022 - Present

GUIDANCE CAPITAL, INC.

Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245
RIA
CRD#: 323541
Louisville, KY
Past

June 28, 2021 - December 15, 2022

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
Louisville, KY
Past

April 23, 2021 - December 15, 2022

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
Louisville, KY

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".
GC
GUIDANCE CAPITAL, INC.
GUIDANCE CAPITAL, INC.

CRD#: 323541 / SEC#: 801-126764

RIA
Registered Investment Advisory firm - (10/21/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Kentucky
(10/28/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/26/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/23/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/15/2020
Securities Industry Essentials Examination

Current Firm

GC
GUIDANCE CAPITAL, INC.
GUIDANCE CAPITAL, INC.

CRD#: 323541 / SEC#: 801-126764

RIA
Registered Investment Advisory firm - (10/21/2022 Approved)
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Contact information

Main Address
2020 High Wickham Place Suite 200, Louisville, KY 40245
Mailing Address
Phone number
(502) 813-2100
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GUIDANCE CAPITAL - ADV PART 2A BROCHURE (6/13/2025)

Regulatory assets under management

Total Number of Accounts572
AUM (Assets Under Management)$ 384,153,124

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

GUIDANCE CAPITAL, INC.

CRD#: 323541Louisville, KY 40245

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