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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)39 years in industry

JOHN MICHAEL LUDWIG

Advisor at LPL FINANCIAL LLC

COLUMBUS, IN | CARMEL, IN

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 1, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 2, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S63
First exam: Jul 2, 1987
First registration: Apr 1, 2004
Dual registered: yes, broker-dealer
Other names: JOHN M LUDWIG
IAPD individual key: 1562436

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 10, 2012	n/a	yes	CARMEL, IN\|COLUMBUS, IN	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Dec 21, 2012	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jun 17, 2005	Jan 2, 2009	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
GENEOS WEALTH MANAGEMENT, INC.	Bd affiliated wealth	Apr 1, 2004	Jun 20, 2005	no	INDIANAPOLIS, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	LPL FINANCIAL LLC	Dec 21, 2012	Dec 10, 2012	-11	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
GENEOS WEALTH MANAGEMENT, INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	Jun 20, 2005	Jun 17, 2005	-3	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 10, 2012 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Dec 21, 2012factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 17, 2005 to Jan 2, 2009factForm ADV
→ GENEOS WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 1, 2004 to Jun 20, 2005factForm ADV

Dated events

No dated event names this entity yet.