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JK

Judith C. King

FEDERATED SECURITIES
Huntington, NY 11743
Some features on this profile are disabled
CRD#: 1023755
JK

Professional summary

Judith Carole King, who also goes by Judith Carole Wolf, is a registered financial professional currently at FEDERATED SECURITIES, INC. located in Huntington, New York.

Judith is registered as a RR (Registered Representative) and started their career in finance in 1981. Judith has worked at 4 firms and has passed the SIE, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Judith Carole Wolf

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Judith Carole King's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 2, 1991 - Present

FEDERATED SECURITIES, INC.

Office #1: 680 Park Avenue, Huntington, NY 11743
BD
CRD#: 5050
Huntington, NY
Past

October 15, 1991 - November 8, 1999

KEDEM CAPITAL CORPORATION

BD
CRD#: 18178
MELVILLE, NY
Past

April 3, 1986 - March 2, 1990

INDIVIDUAL'S SECURITIES LTD.

BD
CRD#: 7279
HUNTINGTON, NY
Past

December 24, 1981 - October 22, 1984

MF GLOBAL INC.

BD
CRD#: 6731

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 4/7/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/11/1991
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FEDERATED SECURITIES, INC.
FEDERATED SECURITIES, INC.

CRD#: 5050 / SEC#: , 8-15644

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
680 Park Avenue, Huntington, NY 11743
Mailing Address
P.o. Box 2679, Huntington Station, NY 11746-0531
Phone number
(631) 421-4499
Established
New Jersey since 03/02/1970
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KING, JUDITH CAROLECHAIRPERSON1023755
GOLDSMITH, DENISE CAROLYNSECRETARY1564417
LANZISERA, CARL JOSEPHPRESIDENT OPTIONS PRINCIPLE302342
LANZISERA, CARL JOSEPHCHIEF COMPLIANCE OFFICER302342

Disclosures

Regulatory Event1

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.

Company Information

FEDERATED SECURITIES, INC.

CRD#: 5050Huntington, NY 11743

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