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JM

Judith A. Mclellan

RAINE SECURITIES LLC
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 5082977
JM

Professional summary

Judith Anne Mclellan, who also goes by Mclellan Judith, Judith A Mclellan, Judy Mclellan, is a registered financial professional currently at RAINE SECURITIES LLC located in Santa Monica, California.

Judith is registered as a RR (Registered Representative) and started their career in finance in 2013. Judith has worked at 2 firms and has passed the SIE, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mclellan Judith | Judith A Mclellan | Judy Mclellan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Judith Anne Mclellan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 1, 2022 - Present

RAINE SECURITIES LLC

Office #1: 100 Wilshire Blvd, Suite 1700, Santa Monica, CA 90401
BD
CRD#: 137873
Santa Monica, CA
Past

January 1, 2020 - July 29, 2022

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
LOS ANGELES, CA
Past

August 12, 2013 - October 30, 2018

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/12/2013
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/10/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RAINE SECURITIES LLC
MILLBRAE CAPITAL LLC | RAINE SECURITIES LLC | OPHIR CAPITAL LLC

CRD#: 137873 / SEC#: , 8-67121

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
65 East 55th Street 24th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 24th Floor, New York, NY 10022
Phone number
(212) 603-5500
Established
Delaware since 08/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAINE ADVISORS LLCOWNER
CHIANESE, ALFRED JOSEPH IIICHIEF OPERATING OFFICER6339436
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
GARDNER, BRANDON WADEPRESIDENT5767814
RAVITCH, JOSEPHCO-CHIEF EXECUTIVE OFFICER2504532
RISHER, ANGELA RENEECHIEF COMPLIANCE OFFICER6676957
SHAW, ANTHONYFINOP, PRINCIPAL FINANCIAL OFFICER7338445
SINE, JEFFREY ALANCO-CHIEF EXECUTIVE OFFICER1557736

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.

Company Information

RAINE SECURITIES LLC

CRD#: 137873Santa Monica, CA 90401

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