Judi A. Klosek
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.
Judi Ann Klosek, who also goes by Judith Ann Basso Ms, Judith Ann Basso, Judith Ann Klosek, Judith Klosek, Judith Ann Klosek Peladeau Ms, Judith Ann Peladeau, was a registered financial professional .
Judi is a previously registered financial professional and started their career in finance in 2001. Judi had worked at 7 firms and has passed the Series 66, SIE 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
February 13, 2018 - April 5, 2018
ALAMO CAPITAL
February 13, 2018 - April 5, 2018
ALAMO CAPITAL
March 14, 2016 - April 13, 2016
OSAIC FA, INC.
March 14, 2016 - April 13, 2016
OSAIC FA, INC.
February 1, 2016 - March 1, 2016
NATIONAL PLANNING CORPORATION
January 29, 2016 - March 1, 2016
NATIONAL PLANNING CORPORATION
September 16, 2011 - May 8, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2011 - May 8, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 2008 - December 22, 2010
WELLS FARGO INVESTMENTS, LLC
November 18, 2008 - December 22, 2010
WELLS FARGO INVESTMENTS, LLC
August 17, 2001 - February 13, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
July 24, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 24, 2001 - February 13, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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
ALAMO CAPITAL
CRD#: 26193 / SEC#: 801-135291, 8-42293
Contact information
FINRA licenses (41 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 19 |
| AUM (Assets Under Management) | $ 103,590,000 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
