Judith A. Kallaus
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 Anne Kallaus, who also goes by Judy Knotz, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1983. Judith had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2013 - December 19, 2018
QUESTAR ASSET MANAGEMENT, INC.
March 23, 2009 - December 19, 2018
QUESTAR CAPITAL CORPORATION
January 2, 2009 - March 13, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 1, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 14, 2005 - March 13, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 24, 2005 - September 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 26, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - May 25, 1995
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
June 22, 1983 - February 15, 1988
E. F. HUTTON & COMPANY 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
Series 5
Date: 2/12/1992
Interest Rate Options ExaminationSeries 15
Date: 1/29/1992
Foreign Currency Options ExaminationSeries 8
Date: 7/31/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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