Judith A. Carlson
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 A Carlson, who also goes by Judith Ann Carlson, Judith Carlson, Judith Ann Horner-carlson, Judith Ann Huhn, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1988. Judith had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 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
November 9, 2018 - January 11, 2021
CIMAS, LLC
July 13, 2017 - May 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2007 - January 6, 2017
MML INVESTORS SERVICES, LLC
April 17, 2006 - May 4, 2007
LPL FINANCIAL LLC
January 30, 2006 - March 3, 2006
PARK AVENUE SECURITIES LLC
May 3, 2005 - September 15, 2005
CETERA FINANCIAL SPECIALISTS LLC
December 2, 2001 - November 23, 2004
MEMBERTRADE ADVISORY SERVICES, LLC
June 14, 2001 - November 9, 2004
MEMBERTRADE FINANCIAL GROUP, LLC
March 31, 1999 - March 14, 2001
LPL FINANCIAL LLC
December 3, 1998 - April 2, 1999
IFMG SECURITIES, INC.
February 22, 1994 - December 2, 1998
KEY INVESTMENTS INC.
July 31, 1993 - February 24, 1994
CITIGROUP GLOBAL MARKETS INC.
September 19, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
March 1, 1990 - November 11, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 1, 1990 - November 11, 1991
EQUITABLE ADVISORS, LLC
April 20, 1988 - March 5, 1990
BODELL OVERCASH ANDERSON & CO., 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CIMAS, LLC
CRD#: 132263 / SEC#: , 8-66579
Contact information
FINRA licenses (4 States and Territories)
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.
