Judith A. Trawicki

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CRD#: 2119997

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 Anne Trawicki, CFP®, who also goes by Judy Miessner, Judy Trawicki, was a registered financial professional .

Judith is a previously registered financial professional and started their career in finance in 1991. Judith had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Retirement Planning

Investment Planning

How do you get paid?

Commission and Fee

Are you a "fiduciary"?

Aliases

Judy Miessner | Judy Trawicki

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

WHALEN FINANCIAL GROUP; INVESTMENT RELATED; INSURANCE ENTITY; WAUSAU, WI; ADMNISTRATIVE ASSOCIATE; 03/20/2016; ADMINISTRATIVE ROLE. THE O.N. EQUITY SALES COMPANY; REGISTERED ADMINISTRATIVE ASSOCIATE; INVESTMENT RELATED; WAUSAU, WI; ADMINSTRATIVE ASSOCIATE TO REGISTERED REPRESENTATIVE. MAJORITY OF TIME SPENT IN THESE ROLES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Past

December 8, 2021 - December 13, 2023

WHALEN CAPITAL, INC.

RIA

CRD#: 130016

WAUSAU, WI

Past

March 29, 2017 - October 11, 2022

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Wausau, WI

Past

April 16, 2003 - March 28, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

WAUSAU, WI

Past

April 16, 2003 - March 28, 2017

LPL FINANCIAL LLC

CRD#: 6413

WAUSAU, WI

Past

October 5, 2000 - November 15, 2002

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

August 20, 1997 - November 25, 1998

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

MINNEAPOLIS, MN

Past

January 19, 1994 - August 20, 1997

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

September 3, 1991 - January 18, 1994

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WHALEN CAPITAL, INC.

BRADLEY WHALEN FINANCIAL SERVICES, INC. | WHALEN CAPITAL, INC. | BRADLEYWHALEN FINANCIAL SERVICES, INC.

CRD#: 130016 / SEC#: 801-129615

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (3/21/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/4/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/29/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WHALEN CAPITAL, INC.

BRADLEY WHALEN FINANCIAL SERVICES, INC. | WHALEN CAPITAL, INC. | BRADLEYWHALEN FINANCIAL SERVICES, INC.

CRD#: 130016 / SEC#: 801-129615

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (3/21/2024 Terminated)

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Contact information

Main Address

226411 Rib Mountain Rd, Wausau, WI 54401

Mailing Address

Phone number

(715) 241-6935

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B SEC (1/31/2025)

Regulatory assets under management

Total Number of Accounts	577
AUM (Assets Under Management)	$ 152,406,411

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Judith A. Trawicki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

MARQUETTE FINANCIAL GROUP, INC.

CETERA INVESTMENT SERVICES LLC

FIRSTAR INVESTMENT SERVICES,INC.

Primary Firm SEC Registration

WHALEN CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/1991

SIE

Date: 10/1/2018

Series 7

Date: 11/12/1992

Series 6

Date: 8/29/1991

Current Firm

WHALEN CAPITAL, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHALEN CAPITAL, INC.

TRUST BUT VERIFY

Contact information

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