Judy M. Miller
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 Marie Miller, who also goes by Judith Marie Cullen, Judith Cullen Miller, Judith Marie Miller, Judy Miller, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1983. Judy had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2010 - January 31, 2024
LPL FINANCIAL LLC
July 29, 2010 - January 31, 2024
LPL FINANCIAL LLC
March 16, 2010 - July 28, 2010
CHASE INVESTMENT SERVICES CORP.
March 16, 2010 - July 28, 2010
CHASE INVESTMENT SERVICES CORP.
November 5, 2009 - November 19, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 5, 2009 - November 19, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 11, 2009 - October 5, 2009
LPL FINANCIAL LLC
February 11, 2009 - October 5, 2009
LPL FINANCIAL LLC
July 25, 2008 - November 17, 2008
FIDELITY BROKERAGE SERVICES LLC
July 12, 1999 - June 23, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 1998 - June 23, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 24, 1993 - July 12, 1999
BA INVESTMENT SERVICES, INC.
September 13, 1989 - May 26, 1993
ASB FINANCIAL SERVICES
April 15, 1988 - September 5, 1989
CAL FED INVESTMENTS
May 21, 1987 - April 22, 1988
CAPITAL BROKERAGE CORPORATION
November 25, 1986 - May 20, 1987
TECHNOLOGY FUNDING SECURITIES CORPORATION
December 7, 1983 - February 20, 1986
MCNEIL SECURITIES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
