Judith Hocknell
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 Hocknell, who also goes by Judy Gleeson, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 2006. Judith had worked at 3 firms and has passed the Series 14A exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2014 - January 2, 2023
BRENDAN E. CRYAN AND COMPANY, L.L.C.
February 2, 2007 - February 13, 2008
HBH SPECIALISTS LLC
April 26, 2006 - June 19, 2008
BEAR WAGNER SPECIALISTS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 14A
Date: 11/20/2015
Compliance Official Specialist ExamCurrent Firm
BRENDAN E. CRYAN AND COMPANY, L.L.C.
CRD#: 33496 / SEC#: , 8-41526
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
