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TRISTAN EDWARD LUDWIG
CRD#: 4954241
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 8 MONTGOMERY ST
SAN FRANCISCO, CA 94104
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 CONCORD, CA
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2007 (1 year)2 FIRMS2009 - 2011 (2 years)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - 2015 (2 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2015 - Present (9 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2007 - 2009 (2 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2015 - 2018 (2 years)IAMML INVESTORS SERVICES, INC. (CRD# 10409)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Arizona 11/12/2019

B
Missouri 4/23/2020

B
Arkansas 5/31/2019

B
Nevada 11/4/2016

B
California 9/16/2015

B
New Hampshire 11/12/2019

IA
California 7/13/2018

B
New Jersey 8/11/2017

B
Colorado 8/11/2017

B
New York 11/4/2016

B
Connecticut 6/4/2021

B
North Carolina 4/23/2020

B
Delaware 8/13/2021

B
Oregon 8/11/2017

B
District of Columbia 7/8/2022

B
Pennsylvania 11/12/2019

B
Florida 8/11/2017

B
Puerto Rico 10/4/2024

B
Georgia 6/26/2024

B
Rhode Island 11/20/2024

B
Hawaii 9/23/2016

B
South Carolina 11/12/2019

B
Idaho 11/12/2019

B
Texas 11/4/2016

B
Illinois 5/19/2023

IA
Texas 7/13/2018

B
Indiana 4/10/2021

B
Utah 11/12/2019

B
Kentucky 3/25/2023

B
Virginia 11/12/2019

B
Maryland 8/11/2017

B
Washington 5/9/2016

B
Massachusetts 11/12/2019

B
Wisconsin 3/2/2024

B
Michigan 8/11/2017

B
Wyoming 10/8/2021

B
Minnesota 9/9/2022

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
8 MONTGOMERY ST, SAN FRANCISCO, CA 94104
CONCORD, CA
Registered with this firm since 7/13/2018

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
CONCORD, CA
8 MONTGOMERY STREET, SAN FRANCISCO, CA 94104
Registered with this firm since 9/16/2015

Previous Registration(s)
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IA
09/21/2015 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) SAN FRANCISCO, CA
IA
10/23/2012 - 09/10/2015 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) SAN FRANCISCO, CA
B
10/23/2012 - 09/10/2015 E*TRADE SECURITIES LLC (CRD#:29106) SAN FRANCISCO, CA
IA
07/23/2012 - 11/20/2012 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) PLEASANTON, CA
B
07/23/2012 - 11/20/2012 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) PLEASANTON, CA
IA
09/09/2009 - 12/01/2011 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) UNION CITY, CA
B
09/08/2009 - 12/01/2011 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) UNION CITY, CA
IA
02/23/2009 - 09/02/2009 MML INVESTORS SERVICES, INC. (CRD#:10409) WALNUT CREEK, CA
B
07/27/2007 - 09/02/2009 MML INVESTORS SERVICES, INC. (CRD#:10409) WALNUT CREEK, CA
IA
10/28/2005 - 06/12/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
07/06/2005 - 06/12/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
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B
Broker
IA
Investment Adviser
Disclosures
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