Judith C. Metts
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 Carol Metts, who also goes by Judy Carol Metts, Judith C Nash, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1989. Judith had worked at 8 firms and has passed the Series 63, Series 7, Series 6, 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 3, 2000 - November 29, 2013
CUSO FINANCIAL SERVICES, L.P.
February 1, 1999 - December 4, 2000
BANC ONE SECURITIES CORPORATION
December 9, 1998 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
April 22, 1997 - December 2, 1998
CUNA BROKERAGE SERVICES, INC.
May 24, 1996 - April 14, 1997
PINNACLE FINANCIAL CONSULTANTS, INC.
April 20, 1994 - May 24, 1996
INVEST FINANCIAL CORPORATION
December 3, 1990 - May 5, 1994
MARKETING ONE SECURITIES, INC.
December 12, 1989 - December 4, 1990
EQUITY ANALYSTS 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
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
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.
