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JH

Judy Kay Hedin

CRD# 1206209·Registered 1984 - 2000
Previously Registered: Being a previously registered professional could mean that Judy 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.

Professional Summary

Judy Kay Hedin was a registered financial advisor. Judy was a previously registered financial professional and started their career in finance 1984 - 2000. Judy had worked at 6 firms and has passed the Series 63, Series 7, Series 16 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

EAST/WEST SECURITIES CO.·CRD# 10038
BD
San Francisco, CA
February 28, 2000 - April 26, 2000
JEFFERIES LLC·CRD# 2347
BD
New York, NY
August 6, 1996 - May 8, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.·CRD# 145
BD
Radnor, PA
February 21, 1990 - December 31, 1990
WEDBUSH SECURITIES INC.·CRD# 877
BD
September 10, 1986 - March 16, 1988
MCKEWON & TIMMINS·CRD# 8647
BD
July 2, 1984 - September 22, 1986
LPL FINANCIAL LLC·CRD# 6413
BD
May 23, 1984 - July 27, 1984

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Current Firm

ES
EAST/WEST SECURITIES CO.

EAST/WEST ADVISORS | EASTWEST SECURITIES CO. | EAST/WEST SECURITIES CO. | EAST/WEST ADVISORS, A DIVISION OF EAST/WEST SECURITIES CO.

CRD#: 10038 / SEC#: 8-26118
BD
Terminated by SEC on 03/03/2012

Contact Information

Established

California since 06/21/1981

Firm Type

Partnership

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CHEN, NAI FUNGMANAGING PARTNER & CEO860148
HARRIS, LESLIE UPARTNER & CCO—
TAM, KEVIN CHING WEIFINOP1012822

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1996About the Series 7 exam

Series 16 — NYSE Supervisory Analyst Examination

Passed Oct 1986About the Series 16 exam

Series 24 — General Securities Principal Examination

Passed Oct 1984About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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