Judith B. Bramson
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 Bryna Bramson, who also goes by Judith Bryna Bramson, Judith Bramson, Judith Bryna Friedman, Judy B Friedman, Judy Friedman, J Bryna Wisner, Judith Bryna Wisner, 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 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2014 - August 4, 2021
EDWARD JONES
March 18, 2014 - August 4, 2021
EDWARD JONES
May 11, 2009 - March 29, 2012
MML INVESTORS SERVICES, LLC
June 21, 2002 - June 18, 2007
MML INVESTORS SERVICES, LLC
October 8, 2001 - February 25, 2002
LEGG MASON WOOD WALKER, INCORPORATED
October 26, 1999 - December 8, 1999
PEOPLE'S SECURITIES, INC.
February 3, 1997 - November 2, 1998
AETNA FINANCIAL SERVICES, INC.
October 15, 1993 - November 2, 1998
VOYA FINANCIAL PARTNERS, LLC
March 5, 1993 - October 15, 1993
AELTUS CAPITAL, INC
June 15, 1990 - October 2, 1992
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 25, 1986 - April 26, 1990
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
May 23, 1985 - March 4, 1986
RICHARD ROBERTS CAPITAL CORP.
November 18, 1983 - January 7, 1985
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
