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Judith Mara Soderberg

CRD# 2459380·Registered 1998 - 2015
Previously Registered: Being a previously registered professional could mean that Judith 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.

Professional Summary

Judith Mara Soderberg, who also goes by Judith Soderberg, Judith Mara Soderborg, Judith Mara Solomon, was a registered financial advisor. Judith was a previously registered financial professional and started their career in finance 1998 - 2015. Judith had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Judith Soderberg, Judith Mara Soderborg, Judith Mara Solomon

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

GNV ADVISORS, LLC·CRD# 147286
BD
Chicago, IL
September 28, 2009 - January 2, 2015
WILLIAM BLAIR·CRD# 1252
BD
Chicago, IL
April 26, 2006 - August 6, 2007
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Chicago, IL
January 20, 2005 - December 12, 2005
AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979
BD
Detroit, MI
January 6, 2004 - January 14, 2005
WINTRUST INVESTMENTS LLC·CRD# 875
BD
Chicago, IL
August 4, 2003 - December 17, 2003
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
June 15, 1998 - August 5, 2003
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
January 30, 1998 - June 5, 1998

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Current Firm

GA
GNV ADVISORS, LLC

GNV ADVISORS, LLC

CRD#: 147286 / SEC#: 8-67894
BD
Terminated by SEC on 01/01/2018

Contact Information

Established

Delaware since 02/06/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GENEVA HOLDING COMPANY OF CHICAGO, LLCMEMBER—
BRADY, MICHAEL STEVENFINOP5980704
BRIDGES, ROBERT CAMPBELLMANAGING MEMBER2239831
BRIDGES, THOMAS SHELBYMANAGING MEMBER3180557
HUBER, JOHN PATRICKMANAGING MEMBER2457037
NEWSOM, KURT MICHAELCHIEF COMPLIANCE OFFICER5309165
PIERCE, DAVIDCFO4556137

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1998About the Series 7 exam

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CRS (Client Relationship Summary)

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

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