Judith A. Mcniff
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 Mcniff, who also goes by Judy Eix, Judy Mcniff, Judith Ann Smith, Judy Smith, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1988. Judith had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31 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 22, 2011 - May 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
July 22, 2011 - May 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - August 4, 2011
MORGAN STANLEY
June 1, 2009 - August 4, 2011
MORGAN STANLEY
November 4, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 4, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 1, 2002 - November 7, 2005
HARRISDIRECT LLC
December 11, 2000 - November 7, 2005
HARRISDIRECT LLC
December 9, 2000 - May 1, 2002
HARRIS INVESTORLINE INC.
April 15, 2000 - December 9, 2000
HARRIS INVESTORLINE
April 29, 1998 - March 7, 2002
AMERITAS INVESTMENT COMPANY, LLC
September 22, 1994 - April 15, 2000
HARRIS INVESTORS DIRECT, INC.
October 29, 1993 - April 30, 1998
ALLSTATE FINANCIAL SERVICES, LLC
January 27, 1993 - November 9, 1993
LASALLE FINANCIAL SERVICES, INC.
February 6, 1991 - January 26, 1993
CAPITAL BROKERAGE CORPORATION
August 28, 1989 - December 24, 1990
FORESTERS FINANCIAL SERVICES, INC.
January 26, 1989 - August 17, 1989
MAIN STREET MANAGEMENT COMPANY
November 1, 1988 - February 4, 1989
JOHN HANCOCK DISTRIBUTORS LLC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
