Judith A. Schroeder
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 Ann Schroeder, who also goes by Judith Ann Aliperto, Judith A Schroeder, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1999. Judith had worked at 4 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2002 - November 12, 2020
GOLDEN EAGLE SECURITIES, INC.
October 19, 2001 - February 15, 2002
WINDSOR STREET CAPITAL, LP
February 25, 2000 - October 19, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
September 21, 1999 - February 9, 2000
WALL STREET STRATEGIES, INC.
August 25, 1999 - September 8, 1999
FAS WEALTH MANAGEMENT SERVICES, 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
GOLDEN EAGLE SECURITIES, INC.
CRD#: 19586 / SEC#: , 8-37788
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
