Judy M. Baba
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.
Judy Mcdowall Baba, who also goes by Judy Ann Mcdowall, Judy M Smith, Judy Mcdowall Smith, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 2002. Judy had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2014 - August 16, 2021
INDEX FUND ADVISORS, INC.
March 29, 2011 - June 7, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 7, 2002 - March 22, 2011
M HOLDINGS SECURITIES, INC.
February 5, 2002 - March 19, 2002
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
INDEX FUND ADVISORS, INC.
CRD#: 109143 / SEC#: 801-57978
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
INDEX FUND ADVISORS, INC.
CRD#: 109143 / SEC#: 801-57978
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,146 |
| AUM (Assets Under Management) | $ 5,329,171,931 |
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.
