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Judith Lee Harlan

Judith L. Harlan

NWF ADVISORY SERVICES
San Diego, CA 92101
Some features on this profile are disabled
CRD#: 6041618
Judith Lee Harlan

Professional summary

Judith Lee Harlan, CFP®, who also goes by Judi Lee Bartlett, Judith Lee Bartlett, Judi Harlan, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in San Diego, California and OSAIC WEALTH, INC. located in San Diego, California.

Judith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Judith has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Judi Lee Bartlett | Judith Lee Bartlett | Judi Harlan

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) - RIA

Click below to view Judith Lee Harlan'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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

September 17, 2018 - Present

NWF ADVISORY SERVICES INC

Office #1: 1240 India Street Unit 1402, San Diego, CA 92101
RIA
CRD#: 110410
San Diego, CA
Current

August 30, 2018 - Present

OSAIC WEALTH, INC.

RIA
BD
CRD#: 23131
San Diego, CA
Past

August 31, 2018 - January 21, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
SAN DIEGO, CA
Past

May 3, 2018 - August 2, 2018

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SAN DIEGO, CA
Past

March 25, 2017 - April 10, 2018

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SAN DIEGO, CA
Past

March 25, 2017 - August 2, 2018

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SAN DIEGO, CA
Past

February 5, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
SAN DIEGO, CA
Past

September 5, 2013 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SAN DIEGO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA
Registered Investment Advisory firm - (6/30/1998 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/21/2025)
RR
California
(8/30/2018)
IAR
California
(9/17/2018)
RR
Colorado
(8/27/2025)
RR
Florida
(1/21/2025)
RR
Illinois
(1/21/2025)
RR
Maryland
(3/7/2025)
RR
Michigan
(1/21/2025)
RR
New Mexico
(1/21/2025)
RR
New York
(1/21/2025)
RR
Pennsylvania
(1/21/2025)
RR
Texas
(1/21/2025)
RR
Wyoming
(1/21/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/17/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA
Registered Investment Advisory firm - (6/30/1998 Approved)
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Contact information

Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71

SEC notice filing (24 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts11,979
AUM (Assets Under Management)$ 3,824,876,751

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

NWF ADVISORY SERVICES INC

CRD#: 110410San Diego, CA 92101

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