Judith A. Mathes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Judith Ann Mathes, who also goes by Judith Arbini, Judy Arbini, Judith Ann Guilbert, Judy Guilbert, Judith A Mathes, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1981. Judith had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2009 - July 15, 2016
SPC
April 7, 2005 - December 31, 2005
SPC
October 12, 2000 - July 15, 2016
SIGMA FINANCIAL CORPORATION
November 5, 1999 - August 23, 2000
FIRST SECURITIES USA, INC.
February 3, 1995 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
July 2, 1993 - January 4, 1994
A. G. EDWARDS & SONS, INC.
June 25, 1991 - June 17, 1993
SECURITIES AMERICA, INC.
January 1, 1991 - June 24, 1991
OAK TREE SECURITIES, INC.
August 16, 1989 - December 31, 1990
E.F. DALY FINANCIAL GROUP
February 7, 1989 - September 9, 1989
KAVANAUGH SECURITIES, INC.
November 3, 1988 - February 6, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 21, 1987 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 6, 1985 - May 18, 1988
CALIFORNIA PLANNERS NETWORK, INC.
October 29, 1984 - April 15, 1985
FIRST AFFILIATED SECURITIES, INC.
August 25, 1981 - September 4, 1984
FINANCIAL PLANNERS EQUITY CORPORATION
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
