Judith B. Schiffer
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 Bucher Schiffer, who also goes by Judith Diane Bucher, Judith Diane Schiffer, Judy Schiffer, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1983. Judith had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3 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
January 13, 2000 - September 7, 2017
ICBA SECURITIES
August 4, 1999 - September 7, 2017
VINING-SPARKS IBG, LLC
June 6, 1997 - August 20, 1999
MULTI-BANK SECURITIES, INC.
March 16, 1994 - June 25, 1997
PRINCIPAL SECURITIES, INC.
August 19, 1992 - February 3, 1994
PRUCO SECURITIES, LLC.
April 10, 1992 - August 6, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 10, 1992 - August 6, 1992
EQUITABLE ADVISORS, LLC
November 25, 1991 - February 20, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 1984 - March 13, 1989
BEARE BROTHERS & CO. INC.
January 25, 1984 - April 24, 1984
MORGAN STANLEY DW INC.
December 21, 1983 - February 1, 1984
BEARE BROTHERS & CO. 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
Current Firm
ICBA SECURITIES
CRD#: 24088 / SEC#: , 8-40867
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | OWNER | |
| BATES, THOMAS EUGENE | DIRECTOR | 7598713 |
| BITTINGER, AZA HARRISON JR. | DIRECTOR | 4169602 |
| FOSTER, BRENDA KAY | DIRECTOR | |
| GUERRA, GABE | DIRECTOR | 7910566 |
| HEID, BLAKE AARON | DIRECTOR | 7598685 |
| JORDE, TERRY JEAN | SECRETARY | 2643666 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| REBER, JAMES LEO | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 1809879 |
| ROMERO RAINEY, REBECA MARIA | DIRECTOR | 6989824 |
| TWEDDLE, KEVIN MATTHEW | DIRECTOR | 7152050 |
| WANICHEK, CRAIG ALAN | DIRECTOR | 2352101 |
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.
