Judy B. Werner
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 Babb Werner, who also goes by Judy D Babb, Judy Diann Babb, Judy D Werner, Judy Diann Werner, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1987. Judy had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2002 - September 30, 2013
GARDNER LEWIS ASSET MANAGEMENT LP
January 8, 1993 - August 17, 2007
CAPITAL INVESTMENT GROUP, INC.
April 21, 1987 - January 11, 1991
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
GARDNER LEWIS ASSET MANAGEMENT LP
CRD#: 105033 / SEC#: 801-36476
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
GARDNER LEWIS ASSET MANAGEMENT LP
CRD#: 105033 / SEC#: 801-36476
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 430,608,614 |
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.
