Kirk Ludwig has been CCO, CIO & Treasurer of Westhill Financial Advisors since December 2009, is a control person of the firm and directly owns under 5% of it. Kirk Ludwig holds a Bachelor's degree in Business Administration from Linfield College and a Master's degree in Financial Services from The American College.
Westhill Financial Advisors, Inc. is a San Rafael, CA firm with $789M under management, 426 clients and 6 advisers across 12 offices, as of its August 2026 filing.
Kirk Ludwig is Chief Investment Officer and Chief Compliance Officer of WestHill Financial Advisors, and a co-founder and shareholder of the firm. As Chairman of the firm's Investment Committee, he oversees the Investment Management team. Before co-founding WestHill, he was a registered representative with Equitable.
Kirk Ludwig’s longest registration is the current one, 16 years at Westhill Financial Advisors since 2010. Before joining Westhill Financial Advisors in 2010, Kirk Ludwig was registered through Cambridge Investment Research Advisors, Inc. and Axa Advisors, LLC.
- – present · 16 yearsSan Rafael, CA · Adviser representative · Firm CRD 152506
- Cambridge Investment Research Advisors, Inc.– · 3 yearsSan Rafael, CA · Adviser representative · Firm CRD 134139
- Axa Advisors, LLC– · 9 yearsSan Rafael, CA · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Kirk Ludwig is registered as an investment adviser representative in 2 states. The first approvals date from March 2010; the most recent is Texas, in December 2024.
- CaliforniaSince 11 March 2010
- TexasSince 5 December 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 14 December 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 February 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 June 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 May 1986 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Kirk Martin Ludwig
- CRD
- 1453087
- Firm
- Westhill Financial Advisors · CRD 152506
- Role
- CCO, CIO & Treasurer
- Office
- 999 FIFTH AVE., SUITE 300, San Rafael, CA 94901
- Registration
- Investment adviser registration
- In the industry since
- July 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- westhillfa.com
Where does Kirk Ludwig work?
Kirk Ludwig has been CCO, CIO & Treasurer of Westhill Financial Advisors, Inc. since December 2009, and is a control person of the firm.
Is Kirk Ludwig a financial advisor?
Yes. Kirk Ludwig has a current investment-adviser registration in California and Texas, through Westhill Financial Advisors since March 2010.
How many years of experience does Kirk Ludwig have?
Kirk Ludwig has 29 years in the financial industry, since July 1997, across 3 adviser firms.
What exams has Kirk Ludwig passed?
Kirk Ludwig has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in May 1986. FINRA credited Kirk Ludwig with the SIE, which began in October 2018.
Where did Kirk Ludwig work before Westhill Financial Advisors?
Before Westhill Financial Advisors, Kirk Ludwig was registered through Axa Advisors, LLC, July 1997 to January 2007.
Where is Kirk Ludwig based?
Kirk Ludwig’s registered office is in San Rafael, CA.
Is Kirk Ludwig registered with FINRA?
No. Kirk Ludwig has no current broker registration.
How can I verify Kirk Ludwig’s record?
Search CRD 1453087 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kirk Ludwig’s full registration record.
