Judith T. Briles
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 T Briles, who also goes by Judith Mary Briles, Judith T Maling, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1971. Judith had worked at 5 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 1979 - November 26, 1982
JUDITH BRILES & COMPANY
February 9, 1978 - February 10, 1980
LPL FINANCIAL LLC
December 19, 1972 - April 25, 1978
E. F. HUTTON & COMPANY INC
February 4, 1972 - February 3, 1973
BATEMEN EICHLER HILL RICHARDS INC
October 27, 1971 - February 17, 1972
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
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
Series 1
Date: 10/18/1971
Registered Representative ExaminationF04
Date: 10/31/1978
Financial Principal ExaminationSeries 40
Date: 3/23/1978
Registered Principal ExaminationCurrent firm
No current employment
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.
