Julie A. Broadwell
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.
Julie Ann Broadwell, who also goes by Julie Ann Rudolph, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 2001. Julie had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2017 - February 9, 2018
OT: OPTIMIZED TRANSITIONS, INDEPENDENT INVESTMENT COUNSEL, LLC
March 20, 2006 - August 31, 2006
U.S. BANCORP INVESTMENTS, INC.
September 26, 2001 - January 30, 2004
FIFTH THIRD SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
OT: OPTIMIZED TRANSITIONS, INDEPENDENT INVESTMENT COUNSEL, LLC
CRD#: 171645 / SEC#:
Contact information
Red Flags
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