Judith A. Payuk
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 Ann Payuk, who also goes by Judith Ann Cohen, Judith Ann Kieffer, Judy Payuk, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1984. Judith had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2014 - July 26, 2017
COMMERCE BROKERAGE SERVICES, INC.
July 14, 2014 - July 26, 2017
COMMERCE BROKERAGE SERVICES, INC.
March 31, 2011 - July 14, 2014
FIRST BROKERAGE AMERICA, L.L.C.
April 3, 2006 - July 14, 2014
FIRST BROKERAGE AMERICA, L.L.C.
June 6, 2005 - March 8, 2006
TEACHERS PERSONAL INVESTORS SERVICES, INC.
June 6, 2005 - April 3, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 8, 2000 - May 26, 2005
FIRST BROKERAGE AMERICA, L.L.C.
January 9, 1997 - May 4, 2000
WALNUT STREET SECURITIES, INC.
November 18, 1992 - January 4, 1997
MERCANTILE INVESTMENT SERVICES, INC.
January 30, 1991 - October 30, 1992
FFP SECURITIES, INC.
January 17, 1990 - September 28, 1990
ROBERT THOMAS SECURITIES, INC
June 20, 1984 - October 28, 1989
INVEST FINANCIAL 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
Current Firm
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
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.
