Judith N. Sanborn
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 Nancy Sanborn, who also goes by Judith Gregory, Judith Nancy Sanborn Ms., was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1994. Judith had worked at 7 firms and has passed the Series 65, Series 63, 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 10, 2013 - December 31, 2017
DELTA SECURITIES COMPANY, LLC
May 3, 2007 - December 31, 2018
CERTIFIED ADVISORY CORP
May 2, 2007 - December 31, 2018
SIGNATURE ESTATE SECURITIES, LLC
October 19, 2005 - May 3, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 5, 2004 - May 3, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 5, 2002 - April 23, 2003
TRUIST INVESTMENT SERVICES, INC.
July 20, 1999 - January 11, 2001
FIRST FUND DISTRIBUTORS, INC.
October 25, 1994 - April 1, 1998
NICHOLAS-APPLEGATE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
DELTA SECURITIES COMPANY, LLC
CRD#: 130577 / SEC#: , 8-66364
Contact information
Documents
Red Flags
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