Julia D. Needham
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.
Julia Dora Needham, who also goes by Julia Kyle Ehlers, Julia Ehlers, Julia Dora Kyle, Julia Kyle Needham, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 1991. Julia had worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 50, Series 7, Series 53 and Series 54 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2020 - March 20, 2023
NW CAPITAL MARKETS INC.
May 11, 2004 - February 6, 2020
POWELL CAPITAL MARKETS, INC.
October 25, 1994 - March 5, 1998
CREDIT SUISSE SECURITIES (USA) LLC
October 25, 1994 - October 7, 1998
CSFP CAPITAL, INC.
October 31, 1991 - January 3, 1992
LAZARD FRERES & CO. LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
