Judith A. Kools
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 Kools, who also goes by Judy Kools, Judith Ann Koolsoliver, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1983. Judith had worked at 2 firms and has passed the Series 63, Series 7, Series 27 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 15, 1985 - June 12, 1987
CAPITAL DEVELOPMENT GROUP, INC.
May 3, 1983 - July 31, 1985
BEACH SECURITIES, INC.
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
CAPITAL DEVELOPMENT GROUP, INC.
CRD#: 16679 / SEC#: , 8-34356
Contact information
Documents
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.
