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Philip Kerry Ludwig

LPl Financial LLC

Farmington, CT

Glastonbury, CT

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-07-25
  • CT RA
    APPROVED
    Since 2025-07-25

Branch Locations

85 Scott Swamp Rd, Farmington, CT 06032 • United States

124 Hebron Ave Suite 3B-1, Glastonbury, CT 06033 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Philip K. Ludwig, Cpa Farmington CT 10/1998 Present
Investacorp Advisory Services, Inc. Miami FL 10/2015 07/2020
Securities America Advisors, Inc. La Vista NE 07/2020 05/2023
Cadaret, Grant & Co., Inc. Glastonbury CT 05/2023 07/2025
Lpl Financial Llc Farmington CT 07/2025 Present
  • 10/1998 → Present
    Philip K. Ludwig, Cpa
    Farmington, CT
  • 10/2015 → 07/2020
    Investacorp Advisory Services, Inc.
    Miami, FL
  • 07/2020 → 05/2023
    Securities America Advisors, Inc.
    La Vista, NE
  • 05/2023 → 07/2025
    Cadaret, Grant & Co., Inc.
    Glastonbury, CT
  • 07/2025 → Present
    Lpl Financial Llc
    Farmington, CT
Previous Registrations
  • 2023-05-05 → 2025-07-10
    Cadaret, Grant & Co., Inc.
    Glastonbury, CT
    Syracuse, NY
    Syracuse, NY
  • 2020-07-17 → 2023-05-09
    Securities America Advisors, Inc.
    La Vista, NE
  • 2015-11-06 → 2020-07-17
    Investacorp Advisory Services Inc
    Glastonbury, CT
  • 2013-01-09 → 2015-09-03
    Invest Financial Corporation
    Glastonbury, CT
Other Businesses

1)07/14/2025 - Accounting Matters - LLC for Payroll Services - Owner - Inv Rel - Farmington, CT - 100% of Time

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-01-08
S63 Uniform Securities Agent State Law Examination 1996-08-02
  • S65 Uniform Investment Adviser Law Examination
    2013-01-08
  • S63 Uniform Securities Agent State Law Examination
    1996-08-02

View on SEC IAPD

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