Judith A. Anderson

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CRD#: 2900509

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 Ann Anderson, who also goes by Judy Anderson, was a registered financial professional .

Judith is a previously registered financial professional and started their career in finance in 1997. Judith had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Judy Anderson

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.

(1) 07/31/2012 - DBA ONLY - ANDERSON INVESTMENT CONSULTING & SERVICES - REP/OWNER - 35% OF TIME SPENT - MEQUON, WI 2. 10/25/2019 - Sequoia Wealth Management - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start date:10/01/2019 - 200 hrs/mo - 8 hrs during trading - IAR - I provide investment advisory services through Sequoia Wealth Management, an independent investment advisor firm. I started this business activity in 10/2019. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 11/05/2019 - Anderson Investment Consulting & Services - Investment related - At reported business location(s) - Registered Investment Advisor DBA - start date:10/01/2019 - 160 hrs/mo - 7 hrs during trading. 4 . LPL FINANCIAL BROKER DEALER REGISTERED REP SINCE 07/2012 INVESTMENT RELATED 7. INSURANCE LICENSED - LIFE AND HEALTH

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 1, 2019 - December 31, 2022

SEQUOIA WEALTH MANAGEMENT, LLC

RIA

CRD#: 170543

Mequon, WI

Past

July 31, 2012 - December 31, 2022

LPL FINANCIAL LLC

CRD#: 6413

MEQUON, WI

Past

May 5, 2009 - October 1, 2019

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 146236

MEQUON, WI

Past

March 14, 2005 - December 4, 2009

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

MEQUON, WI

Past

March 14, 2005 - July 31, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

MEQUON, WI

Past

April 3, 1998 - March 23, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 2, 1997 - April 3, 1998

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEQUOIA WEALTH MANAGEMENT, LLC

CRD#: 170543 / SEC#: 801-80362

RIA

Registered Investment Advisory firm - (10/1/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/18/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/1997

General Securities Representative Examination

Current Firm

SEQUOIA WEALTH MANAGEMENT, LLC

CRD#: 170543 / SEC#: 801-80362

RIA

Registered Investment Advisory firm - (10/1/2014 Approved)

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Contact information

Main Address

200 Applebee St Suite 208, Barrington, IL 60010

Mailing Address

Phone number

(847) 310-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (7/14/2025)

FORM ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (7/14/2025)

Regulatory assets under management

Total Number of Accounts	2,698
AUM (Assets Under Management)	$ 514,331,206

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.

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Firm Stability Insights

Judith A. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

ADVANTAGE INVESTMENT MANAGEMENT, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

WALNUT STREET SECURITIES, INC.

AEGON USA SECURITIES INC.

Primary Firm SEC Registration

SEQUOIA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2005

Series 63

Date: 7/16/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/1/1997

Current Firm

SEQUOIA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEQUOIA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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