Judy A. Taibi
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 Ann Taibi was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1982. Judy had worked at 5 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2013 - September 5, 2014
SAGE ADVISORY SERVICES LTD CO
January 27, 2003 - October 29, 2003
THE ADVISORS GROUP, INC.
July 31, 1993 - February 2, 2001
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
July 23, 1982 - May 14, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
SAGE ADVISORY SERVICES LTD CO
CRD#: 106236 / SEC#: 801-52937
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
PC
Date: 7/23/1982
AMEX Put and Call ExamSeries 1
Date: 9/11/1972
Registered Representative ExaminationCurrent Firm
SAGE ADVISORY SERVICES LTD CO
CRD#: 106236 / SEC#: 801-52937
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,206 |
| AUM (Assets Under Management) | $ 24,975,056,606 |
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.
