Judith G. Tiktin
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 Gruber Tiktin, who also goes by Judith M. Gruber, Judith Marjorie Gruber, Judith M. Tiktin, Judith Marjorie Tiktin, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 2001. Judith had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2016 - December 31, 2019
XML FINANCIAL GROUP
July 16, 2010 - October 13, 2016
LPL FINANCIAL LLC
July 16, 2010 - October 13, 2016
LPL FINANCIAL LLC
November 22, 2005 - July 16, 2010
CETERA INVESTMENT ADVISERS LLC
June 7, 2004 - July 16, 2010
CETERA FINANCIAL SPECIALISTS LLC
December 14, 2001 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
Primary Firm SEC Registration
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
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
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,044 |
| AUM (Assets Under Management) | $ 2,993,236,597 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2025 | ||
| 07/19/2024 | ||
| 07/19/2023 |
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.
