Christopher A. Judy
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.
Christopher Alan Judy was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 4 firms and has passed the Series 63, Series 65, 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
June 25, 2008 - January 2, 2015
COLDSTREAM SECURITIES, INC.
October 13, 2005 - January 2, 2015
COLDSTREAM WEALTH MANAGEMENT
August 20, 1999 - September 30, 2005
WESTERN PACIFIC INVESTMENT ADVISERS INC
February 24, 1994 - March 21, 1999
BLACK & COMPANY, 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
COLDSTREAM SECURITIES, INC.
CRD#: 46835 / SEC#: , 8-51549
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
