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JN

Judith M. Nicchetta

Some features on this profile are disabled
CRD#: 2134099
JN

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 Marie Nicchetta, CFP®, who also goes by Judith Marie Scott, was a registered financial professional .

Judith is a previously registered financial professional and started their career in finance in 1991. Judith had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Judith Marie Scott

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.
The advisor shows no other business activity.

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

Experience

Past

November 17, 2017 - September 19, 2025

CIBC PRIVATE WEALTH ADVISORS, INC.

RIA
CRD#: 109644
Chicago, IL
Past

October 31, 2017 - September 19, 2025

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Chicago, IL
Past

August 21, 2014 - September 1, 2017

GENEVA ADVISORS, LLC

RIA
CRD#: 121629
CHICAGO, IL
Past

July 28, 2014 - October 31, 2017

GNV ADVISORS, LLC

BD
CRD#: 147286
Chicago, IL
Past

September 2, 2009 - July 17, 2014

AUSDAL FINANCIAL PARTNERS, INC.

BD
CRD#: 7995
DEERFIELD, IL
Past

February 22, 2000 - July 16, 2014

FR&R FINANCIAL SERVICES, L.L.C.

RIA
CRD#: 119669
DEERFIELD, IL
Past

January 12, 2000 - September 1, 2009

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
DEERFIELD, IL
Past

July 31, 1993 - January 21, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 28, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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".
CP
CIBC PRIVATE WEALTH ADVISORS, INC.
AT INVESTMENT ADVISERS, INC. | STEIN ROE INVESTMENT COUNSEL,LLC | STEIN ROE INVESTMENT COUNSEL, INC. | STEIN ROE INVESTMENT COUNSEL LLC | CIBC PRIVATE WEALTH MANAGEMENT | CIBC PRIVATE WEALTH ADVISORS, INC. | CIBC PRIVATE WEALTH ADVISORS INC. - TEAM GENEVA ADVISORS | ATLANTIC TRUST STEIN ROE | ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT

CRD#: 109644 / SEC#: 801-57986

RIA
Registered Investment Advisory firm - (10/27/2000 Approved)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/14/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/1991
General Securities Representative Examination

Current Firm

CP
CIBC PRIVATE WEALTH ADVISORS, INC.
AT INVESTMENT ADVISERS, INC. | STEIN ROE INVESTMENT COUNSEL,LLC | STEIN ROE INVESTMENT COUNSEL, INC. | STEIN ROE INVESTMENT COUNSEL LLC | CIBC PRIVATE WEALTH MANAGEMENT | CIBC PRIVATE WEALTH ADVISORS, INC. | CIBC PRIVATE WEALTH ADVISORS INC. - TEAM GENEVA ADVISORS | ATLANTIC TRUST STEIN ROE | ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT

CRD#: 109644 / SEC#: 801-57986

RIA
Registered Investment Advisory firm - (10/27/2000 Approved)
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Contact information

Main Address
181 West Madison Street 36th Floor, Chicago, IL 60602
Mailing Address
Phone number
(312) 368-7700
Established
Firm type
Fiscal year end
# of Employees
570

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CIBC PRIVATE WEALTH ADVISORS INC BROCHURE (2/27/2026)

Regulatory assets under management

Total Number of Accounts28,865
AUM (Assets Under Management)$ 61,112,966,756

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/24/2025
Cover Page
Report
04/30/2025
Cover Page
Report
10/20/2023
Cover Page
Report
04/26/2023
Cover Page
Report

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.

Company Information

CIBC PRIVATE WEALTH ADVISORS, INC.

CRD#: 109644

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