Judith H. Woodard
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 Hardy Woodard, who also goes by Judith Ann Hardy, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1982. Judith had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 5 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2021 - December 31, 2021
KESTRA ADVISORY SERVICES, LLC
May 14, 2007 - December 31, 2021
KESTRA INVESTMENT SERVICES, LLC
February 14, 2005 - May 17, 2007
WALNUT STREET SECURITIES, INC.
March 1, 1990 - July 26, 2000
J.P. MORGAN SECURITIES LLC
March 20, 1987 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
October 16, 1984 - July 30, 1985
CIBC WORLD MARKETS CORP.
February 1, 1984 - August 3, 1984
CONTISECURITIES, INC.
July 22, 1982 - September 23, 1983
SALOMON BROTHERS INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Series 5
Date: 8/6/1982
Interest Rate Options ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
