Ludwell Graham Gaines

Current Employers

Focus Partners Wealth, Llc

190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2025-10-02

AZ RA
APPROVED

Since 2025-10-02

Branch Locations

16100 N 71St Street Suite 190, Scottsdale, AZ 85254 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Sonora Investment Management Llc	Phoenix	AZ	06/2011	10/2021
Sonora Investment Management Group, Llc	Tucson	AZ	10/2021	Present
Focus Partners Wealth, Llc	Boston	MA	10/2025	Present

06/2011 → 10/2021

Sonora Investment Management Llc

Phoenix, AZ
10/2021 → Present

Sonora Investment Management Group, Llc

Tucson, AZ
10/2025 → Present

Focus Partners Wealth, Llc

Boston, MA

Previous Registrations

2022-09-20 → 2025-10-23

Sonora Investment Management

Scottsdale, AZ

Tucson, AZ
2017-08-02 → 2021-10-01

Sonora Investment Management Llc

Phoenix, AZ

Tucson, AZ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-08-01
S63	Uniform Securities Agent State Law Examination	1984-09-04

S65 Uniform Investment Adviser Law Examination

2017-08-01
S63 Uniform Securities Agent State Law Examination

1984-09-04

Other Names

Ludwell Gragam Gaines
Ludwell G (Iv) Gaines

View on SEC IAPD

Current Employers

Focus Partners Wealth, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews