Judy L. Resnick
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 L Resnick, who also goes by Judy Lee Feldman, Judy Lee Resnick Feldman, Judith Lee Resnick, Judith Resnick, Judy Lee Resnick, Judy Resnick, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1983. Judy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 3, 2012 - September 14, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2012 - September 14, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - February 8, 2012
MORGAN STANLEY
June 1, 2009 - February 8, 2012
MORGAN STANLEY
October 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 11, 2003 - October 30, 2008
CITIGROUP GLOBAL MARKETS INC.
December 11, 2003 - October 30, 2008
CITIGROUP GLOBAL MARKETS INC.
April 10, 2001 - July 8, 2003
CITIGROUP GLOBAL MARKETS INC.
March 29, 2001 - July 8, 2003
CITIGROUP GLOBAL MARKETS INC.
June 30, 1998 - April 30, 1999
LOCKWOOD FINANCIAL SERVICES, INC.
December 17, 1997 - April 8, 1998
IMPERIAL CAPITAL, LLC
July 25, 1989 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, LLC
December 21, 1983 - August 11, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
