Julia S. Jeub
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.
Julia S Jeub, who also goes by Judy Jeub, Julia Stephenson, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 2006. Julia had worked at 2 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - July 21, 2020
WESTERN FINANCIAL CORPORATION
April 4, 2006 - December 17, 2012
CARIS & COMPANY, INC.
Primary Firm SEC Registration
WESTERN FINANCIAL CORPORATION
CRD#: 6118 / SEC#: 801-117841, 8-18021
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
Series 7TO
Date: 3/25/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/25/2024
Operations Professional ExaminationCurrent Firm
WESTERN FINANCIAL CORPORATION
CRD#: 6118 / SEC#: 801-117841, 8-18021
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 398 |
| AUM (Assets Under Management) | $ 309,189,116 |
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.
