Gerald F. Judge
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.
Gerald Francis Judge was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1970. Gerald had worked at 11 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1998 - December 31, 2007
QUESTAR CAPITAL CORPORATION
June 9, 1997 - July 14, 1998
SII INVESTMENTS, INC.
September 8, 1986 - March 26, 1997
MARINER FINANCIAL SERVICES, INC.
March 13, 1986 - October 13, 1986
PIM FINANCIAL SERVICES, INC.
September 4, 1985 - April 1, 1986
MESA SECURITIES CORPORATION
November 30, 1982 - August 12, 1985
USLIFE EQUITY SALES CORP.
November 25, 1980 - March 22, 1985
OSAIC FS, INC.
May 1, 1979 - November 28, 1980
USLIFE EQUITY SALES CORP.
February 27, 1976 - May 1, 1979
USLIFE EQUITY SALES CORP
July 11, 1973 - February 10, 1976
CORNERSTONE FINANCIAL SERVICES, INC.
March 7, 1973 - September 18, 1986
ILG SECURITIES CORPORATION
June 11, 1970 - August 19, 1973
FOUNDERS ASSET MANAGEMENT, 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
Series 1
Date: 9/19/1968
Registered Representative ExaminationSeries 00
Date: 6/4/1970
General Securities Principal ExaminationCurrent Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
