Judy L. Gartner
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.
Judy Lee Gartner, who also goes by Judy Hamre Olson, Judy Lee Olson, Judy Lee Olson Gartner, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1982. Judy had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2018 - December 13, 2018
LPL FINANCIAL LLC
October 9, 2018 - February 14, 2019
LPL FINANCIAL LLC
March 11, 2017 - September 18, 2018
WOODBURY FINANCIAL SERVICES, INC.
March 8, 2017 - September 18, 2018
WOODBURY FINANCIAL SERVICES, INC.
August 3, 2015 - March 10, 2017
MML INVESTORS SERVICES, LLC
July 21, 2015 - March 10, 2017
MML INVESTORS SERVICES, LLC
April 1, 2008 - July 22, 2015
VOYA FINANCIAL ADVISORS, INC.
February 20, 2007 - July 22, 2015
VOYA FINANCIAL ADVISORS, INC.
January 18, 2007 - March 21, 2007
FIRST FOUNDERS SECURITIES, INC.
April 17, 2003 - December 31, 2006
VOYA FINANCIAL ADVISORS, INC.
February 4, 2002 - April 30, 2003
PARK AVENUE SECURITIES LLC
August 14, 2001 - December 31, 2001
RICHARD B. VANCE & COMPANY
October 23, 2000 - August 21, 2001
WORLD SECURITIES, INC.
April 23, 1994 - November 9, 2000
WOODBURY FINANCIAL SERVICES, INC.
May 17, 1993 - May 3, 1994
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 4, 1988 - May 24, 1993
WOODBURY FINANCIAL SERVICES, INC.
November 13, 1986 - January 26, 1988
VOYA FINANCIAL ADVISORS, INC.
August 12, 1982 - May 27, 1986
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
