Judith A. Hartong
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 Hartong, who also goes by Judith Ann Geiger, Judy Geiger, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1990. Judith had worked at 13 firms and has passed the Series 63, SIE 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
December 17, 2021 - July 5, 2023
AW SECURITIES
November 29, 2017 - December 22, 2021
LPL FINANCIAL LLC
May 30, 2007 - November 29, 2017
NATIONAL PLANNING CORPORATION
August 23, 2002 - May 31, 2007
ASSOCIATED SECURITIES CORP.
January 1, 2002 - August 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 24, 2000 - August 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
February 4, 2000 - September 11, 2000
MORGAN STANLEY DW INC.
December 4, 1997 - November 28, 2000
IDS LIFE INSURANCE COMPANY
December 4, 1997 - November 28, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
August 20, 1993 - July 30, 1997
ROBERT W. BAIRD & CO. INCORPORATED
May 24, 1993 - August 16, 1993
WELLS FARGO CLEARING SERVICES, LLC
November 10, 1992 - May 20, 1993
DAIN RAUSCHER INCORPORATED
June 3, 1991 - June 17, 1993
EDWARD JONES
March 20, 1990 - August 3, 1990
LEHMAN BROTHERS INC.
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
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| ERICKSON, RICHARD JOHN | DIRECTOR OF INVESTMENT OPERATIONS | 2704674 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
Red Flags
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