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Detailed Report
Eric John Ludovico
ERIC J LUDOVICO
CRD#: 2932082
IA
Investment Adviser
B
Broker
IP FINANCIAL ADVISORY SERVICES LLCCRD#: 305772 Irvine, CA
INNOVATION PARTNERS LLCCRD#: 146344 Irvine, CA
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2013 (2 years)2 FIRMS2013 - 2016 (3 years)2 FIRMS2016 - 2017 (1 year)2 FIRMS2024 - Present (<1 year)BM STEVENS SECURITIES, LLC (CRD# 296750)2023 - 2024 (1 year)BKINGSWOOD CAPITAL PARTNERS, LLC (CRD# 288898)2018 - 2023 (4 years)BACCELERATED CAPITAL GROUP (CRD# 41270)2017 - 2018 (<1 year)BNATIONAL PLANNING CORPORATION (CRD# 29604)2002 - 2009 (7 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2001 - 2002 (<1 year)BTEACHERS PERSONAL INVESTORS SE... (CRD# 36130)1999 - 2001 (2 years)BFRANKLIN/TEMPLETON DISTRIBUTOR... (CRD# 332)1998 - 1999 (1 year)BWMA SECURITIES, INC. (CRD# 32625)1997 - 1998 (1 year)IAM STEVENS WEALTH ADVISORS, LLC (CRD# 291482)2018 - 2024 (6 years)IACHALICE WEALTH ADVISORS (CRD# 288792)2018 - 2018 (<1 year)IANATIONAL PLANNING CORPORATION ... (CRD# 29604)2006 - 2009 (3 years)
Disclosure(s)
View By:
11/15/2024
Regulatory
Final
8/2/2022
Customer Dispute
Award / Judgment
License(s)

State Registrations

IA
California 7/17/2024
IA
Nevada 1/30/2025
B
California 7/18/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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INNOVATION PARTNERS LLC (CRD#:146344)
Irvine, CA
Registered with this firm since 7/18/2024
IA
IP FINANCIAL ADVISORY SERVICES LLC (CRD#:305772)
Irvine, CA
Registered with this firm since 7/17/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/26/2018 - 07/29/2024 M STEVENS WEALTH ADVISORS, LLC (CRD#:291482) IRVINE, CA
B
 06/07/2023 - 07/29/2024 M STEVENS SECURITIES, LLC (CRD#:296750) LAS VEGAS, NV
B
 07/09/2018 - 02/01/2023 KINGSWOOD CAPITAL PARTNERS, LLC (CRD#:288898) Irvine, CA
B
 12/11/2017 - 10/02/2018 ACCELERATED CAPITAL GROUP (CRD#:41270)
FINRA expelled the firm on 11/26/2019
Costa Mesa, CA
IA
 07/10/2018 - 09/18/2018 CHALICE WEALTH ADVISORS (CRD#:288792) Costa Mesa, CA
IA
 08/12/2016 - 12/07/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) IRVINE, CA
B
 07/28/2016 - 12/07/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) IRVINE, CA
IA
 01/17/2013 - 08/08/2016 WADDELL & REED (CRD#:866) COSTA MESA, CA
B
 01/17/2013 - 08/08/2016 WADDELL & REED (CRD#:866) COSTA MESA, CA
IA
 11/01/2010 - 01/31/2013 CROWN CAPITAL SECURITIES, L.P. (CRD#:6312) SAN JUAN CAPISTRANO, CA
B
 10/29/2010 - 01/31/2013 CROWN CAPITAL SECURITIES, L.P. (CRD#:6312) SAN JUAN CAPISTRANO, CA
IA
 07/01/2009 - 10/29/2010 QUESTAR ASSET MANAGEMENT, INC. (CRD#:133358) MINNEAPOLIS, MN
B
 06/30/2009 - 10/29/2010 QUESTAR CAPITAL CORPORATION (CRD#:43100) SANTA ANA, CA
IA
 02/03/2006 - 06/25/2009 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) IRVINE, CA
B
 02/26/2002 - 06/25/2009 NATIONAL PLANNING CORPORATION (CRD#:29604) IRVINE, CA
B
 12/10/2001 - 03/12/2002 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 11/03/1999 - 11/21/2001 TEACHERS PERSONAL INVESTORS SERVICES, INC. (CRD#:36130) NEW YORK, NY
B
 07/23/1998 - 10/29/1999 FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (CRD#:332) SAN MATEO, CA
B
 09/09/1997 - 12/31/1998 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.