Judith M. Pazzaglia
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 M Pazzaglia, who also goes by Judith Mary Donoso, Judith Donoso, Judith M Pazzaglia, Judith Mary Pazzaglia, Judy Pazzaglia, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 2003. Judith had worked at 8 firms and has passed the 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
April 30, 2019 - September 9, 2019
REVERE SECURITIES LLC
September 26, 2016 - May 19, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 13, 2014 - June 22, 2015
SUMMIT BROKERAGE SERVICES, INC.
December 7, 2010 - December 2, 2013
NEWBRIDGE SECURITIES CORPORATION
October 23, 2009 - September 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 31, 2005 - January 23, 2007
MORGAN STANLEY DW INC.
March 18, 2003 - April 1, 2005
SOUTHTRUST SECURITIES, LLC
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
REVERE SECURITIES LLC
CRD#: 14178 / SEC#: , 8-30511
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
Red Flags
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