Judith C. Palmer O'neill
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 Constance Palmer O'neill, who also goes by Judith Constance Palmer, Judith Constance Palmeroneill, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1983. Judith had worked at 11 firms and has passed the Series 63, SIE, Series 22 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
November 16, 2012 - December 20, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 16, 2012 - December 20, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 14, 2008 - November 20, 2012
WOODBURY FINANCIAL SERVICES, INC.
November 14, 2008 - November 20, 2012
WOODBURY FINANCIAL SERVICES, INC.
May 5, 2008 - November 19, 2008
CETERA WEALTH SERVICES, LLC
April 18, 2008 - November 19, 2008
CETERA WEALTH SERVICES, LLC
July 19, 2006 - April 21, 2008
FORTUNE FINANCIAL SERVICES, INC.
December 19, 1994 - July 19, 2006
WOODBURY FINANCIAL SERVICES, INC.
January 28, 1991 - December 31, 1994
EQUITY SERVICES, INC.
March 14, 1990 - January 24, 1991
WALNUT STREET SECURITIES, INC.
September 1, 1989 - February 27, 1990
SUNAMERICA SECURITIES, INC.
July 16, 1988 - September 19, 1989
NEW ENGLAND SECURITIES
February 19, 1986 - July 19, 1988
EQUITY SERVICES, INC.
October 1, 1985 - December 17, 1985
MUTUAL SERVICE CORPORATION
June 24, 1983 - October 4, 1985
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
