Judson E Cass
AIF®, CFP®Professional Summary
Judson E Cass, AIF®, CFP®, who also goes by Judson Edward Cass, is a registered financial advisor currently at A & I WEALTH MANAGEMENT located in Lone Tree, Colorado and GENEOS WEALTH MANAGEMENT, INC. located in Lone Tree, Colorado. Judson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Judson has worked at 8 firms and has passed the Series 66, Series 63, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Judson Edward Cass
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
A & I FINANCIAL SERVICES, LLC | A & I WEALTH MANAGEMENT
Contact Information
Main Address
9605 Kingston Court Suite 190, Lone Tree, CO 80112Phone Number
(303) 690-5070# of Employees
9SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,683AUM (Assets Under Management)
$559,998,114Similar Advisors
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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.
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Primary Firm SEC Registration
A & I FINANCIAL SERVICES, LLC | A & I WEALTH MANAGEMENT
State Registrations and Notice Filings
(1/2/2013)
(7/10/2012)
(7/12/2012)
(8/31/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 2001Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2007About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2006About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Judson E Cass's CRS (Customer Relationship Summary).
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