John W Ludlow

CRD 2652167 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Kansas City, MO

IA RegisteredBroker

Also appears in the source record as: John Wallace Ludlow

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 7TOSIESeries 7Series 10Series 9Series 4Series 66Series 65Series 63
Registered states (1): Missouri
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Kansas City, MO · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Kansas City, MO · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
Boston, MA · IA capacity

Jul 13, 2018 → Sep 20, 2019
Fidelity Brokerage Services LLC
Omaha, NE · BC capacity

Dec 10, 2014 → Sep 16, 2019
Strategic Advisers LLC
Omaha, NE · IA capacity

Dec 12, 2014 → Jul 13, 2018
Morgan Stanley
Menlo Park, CA · IA capacity

Jun 24, 2013 → Jul 29, 2014
Morgan Stanley
Menlo Park, CA · BC capacity

Jun 21, 2013 → Jul 29, 2014
Cls Investments, LLC
Omaha, NE · IA capacity

Dec 5, 2005 → May 29, 2013
Northern Lights Distributors, LLC
Omaha, NE · BC capacity

Aug 2, 2005 → May 29, 2013

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2652167 ↗ FINRA BrokerCheck record for CRD 2652167 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.