Eric 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.
Eric Judge, who also goes by Eric James Judge, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2019 - October 6, 2022
ALLSPRING FUNDS DISTRIBUTOR, LLC
September 1, 2010 - June 16, 2015
PYRAMIS DISTRIBUTORS CORPORATION LLC
December 6, 2006 - May 26, 2010
FIDELITY DISTRIBUTORS COMPANY LLC
September 8, 2005 - September 29, 2006
FUNDS DISTRIBUTOR, LLC
April 16, 2003 - June 30, 2005
MSI FINANCIAL SERVICES, INC.
January 18, 2002 - April 18, 2002
MSI FINANCIAL SERVICES, INC.
December 11, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
November 28, 2001 - June 28, 2005
WALNUT STREET SECURITIES, INC.
September 27, 2001 - January 5, 2002
MSI FINANCIAL SERVICES, INC.
September 27, 2001 - June 30, 2005
METROPOLITAN LIFE INSURANCE COMPANY
February 25, 1998 - July 6, 2005
NEW ENGLAND SECURITIES
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
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 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.
