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Detailed Report
ERIC THOMAS LUDWIG
CRD#: 5436713
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Investment Adviser
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Previous Broker
STOCKBRIDGE PRIVATE WEALTH MANAGEMENT, LLCCRD#: 171869 SUN PRAIRIE, WI
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2014 (6 years)IASTOCKBRIDGE PRIVATE WEALTH MAN... (CRD# 171869)2014 - Present (10 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2014 - 2015 (<1 year)
Disclosure(s)
View By:
2/6/2009
Customer Dispute
Denied
License(s)

State Registrations

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Wisconsin 8/5/2014
Current Registration(s)
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STOCKBRIDGE PRIVATE WEALTH MANAGEMENT, LLC (CRD#:171869)
SUN PRAIRIE, WI
Registered with this firm since 8/5/2014
Previous Registration(s)
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 08/01/2014 - 04/09/2015 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Sheboygan, WI
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 11/19/2007 - 08/04/2014 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SHEBOYGAN, WI
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 10/30/2007 - 08/04/2014 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SHEBOYGAN, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.