Judith P. Jayson
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 Phillips Jayson, who also goes by Judy Jayson, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1983. Judith had worked at 2 firms and has passed the Series 63, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1993 - December 31, 1996
HIMCO DISTRIBUTION SERVICES COMPANY
December 5, 1983 - November 12, 2014
WESTMORELAND CAPITAL CORPORATION
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
Series 2
Date: 3/7/1980
Non-Member General Securities ExaminationCurrent Firm
HIMCO DISTRIBUTION SERVICES COMPANY
CRD#: 6604 / SEC#: , 8-17719
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FINANCIAL SERVICES, LLC | PARENT OF APPLICANT | |
| BENKEN, DIANA KUMP | CONTROLLER, FINOP, CHIEF FINANCIAL OFFICER | 4579476 |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 2239639 |
| FAY, ERIC MORGAN | DIRECTOR | 1558547 |
| FIXER, MICHAEL JOSEPH | ASSISTANT VICE PRESIDENT AND ASSISTANT TREASURER | 5601318 |
| JOHNSON, BRION SCOTT | DIRECTOR | 1936218 |
| POZNAR, MATTHEW JAMES | CEO, DIRECTOR | 6307254 |
| PURTILL, SABRA R | TREASURER | 2449290 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
