Judith A. Lundquist
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 Lundquist, who also goes by Judi Lundquist, Judith A Lundquist, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1987. Judith had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
April 7, 2008 - October 21, 2019
LARIMER CAPITAL CORPORATION
April 7, 2008 - October 21, 2019
LARIMER CAPITAL CORPORATION
April 19, 2002 - March 28, 2008
CASCADE FINANCIAL MANAGEMENT, INC.
April 11, 2002 - March 28, 2008
CASCADE FINANCIAL MANAGEMENT, INC.
July 2, 1996 - May 10, 2002
CASCADE INVESTMENT GROUP, INC.
August 3, 1994 - May 3, 1996
FSC SECURITIES CORPORATION
February 25, 1994 - July 18, 1996
CHASE INVESTMENT SERVICES CORP.
July 31, 1993 - March 22, 1994
CITIGROUP GLOBAL MARKETS INC.
July 22, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
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
LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL, ADAM MORMAN | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1074710 |
| CARMEL, KATHLEEN HAWKINS | SECRETARY |
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 156,240,746 |
Disclosures
| Regulatory Event | 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.
