Diane Ludwig, financial advisor Lakewood CA
93 score

Diane Ludwig

CRD Number: 4432946
Current Firm: Raymond James Financial Services Advisors, Inc.

Diane Ludwig (CRD# 4432946) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Lakewood, CA and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
J & D Tax Service Lakewood, CA Jan 2014 - Current 2
Raymond James Financial Services Advisors Inc. Lakewood, CA Feb 2012 - Current 4
Retirement By Design, Inc. Lakewood, CA Jun 2010 - Current 6
Raymond James Financial Services Lakewood, CA Sep 2009 - Current 7
Chase Investment Services Corp. Lakewood, CA May 2009 - Sep 2009 < 1
Wamu Investments Lakewood, CA Nov 2003 - May 2009 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2010
S66 NASAA Uniform Combined State Law Examination Jan 2012
Contact Info for Diane L. Ludwig
Phone Number: 727-567-5877
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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