Judith E. Dallal
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 Elizabeth Dallal, who also goes by Judith Sigmund, Judy Sigmund, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1997. Judith had worked at 8 firms and has passed the Series 63 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
May 17, 2005 - September 30, 2011
VISION INVESTMENT SERVICES, INC.
April 7, 2005 - July 19, 2013
NORTHERN TRUST SECURITIES, INC.
February 25, 2005 - March 31, 2005
FIFTH THIRD SECURITIES, INC.
November 26, 2002 - February 28, 2005
INVEST FINANCIAL CORPORATION
January 22, 2002 - November 29, 2002
BNY MELLON SECURITIES LLC
May 6, 1999 - February 3, 2000
FSC SECURITIES CORPORATION
October 28, 1997 - October 15, 1998
IDS LIFE INSURANCE COMPANY
October 28, 1997 - October 15, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VISION INVESTMENT SERVICES, INC.
CRD#: 46609 / SEC#: , 8-51489
Contact information
Documents
Direct owners and executive officers
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.
