JP
Judith Y. Phu
VICTORY CAPITAL MANAGEMENT
San Antonio, TX 78256
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CRD#: 6891048
JP
Professional summary
Judith Yomalli Phu, who also goes by Judith Y Marquez, Judith Yomalli Marquez, Judith Y Marquez Merino, is a registered financial advisor currently at VICTORY CAPITAL MANAGEMENT INC. located in San Antonio, Texas and VICTORY CAPITAL SERVICES, INC. located in San Antonio, Texas.
Judith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Judith has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6TO exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Judith Y Marquez | Judith Yomalli Marquez | Judith Y Marquez Merino
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.
Name: Ministerio de Misericordia; Investment Related; Valle de Casa Blanca, 87345 Matamoros, Tamaulipas, Mexico; Financial literacy program for women and men leaving abusive situations. Will be working on budgeting, saving, and investing over the course of the multi class program; Position: Founder of the program with support of local churches and charities; November 18, 2023; 20 hours per month; None during trading hours; No compensation; Name: Phools Pools: Not investement related; 7122 Agarita Mist, Fair Oaks Ranch, TX 78015; Pool and deck building; Provide bookkeeping and administrative functions for spouse's business; 4/24/2024; 30 hours per month, none during securities trading hours; Name: South Phu Island LLC; Not Investment Related; 200 Padre Blvd, South Padre Island TX 78597; Rental Property; Will own and manage the property; 5/24/2024; 40 hours per month, None during trading hours;
CRS (Client Relationship Summary) - RIA
Click below to view Judith Yomalli Phu's 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®
NoneExperience
Current
February 10, 2023 - Present
VICTORY CAPITAL MANAGEMENT INC.
Office #1: 15935 La Cantera Pkwy, San Antonio, TX 78256RIA
CRD#: 106189
San Antonio, TX
Current
September 26, 2022 - Present
VICTORY CAPITAL SERVICES, INC.
Office #1: 15935 La Cantera Parkway, San Antonio, TX 78256BD
CRD#: 37059
San Antonio, TX
Past
August 13, 2021 - August 17, 2022
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
San Antonio, TX
Past
November 2, 2019 - September 13, 2021
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN ANTONIO, TX
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".
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 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
Alabama(12/1/2022)
RR
Alaska(12/1/2022)
RR
Arizona(12/1/2022)
RR
Arkansas(12/1/2022)
RR
California(12/1/2022)
RR
Colorado(12/1/2022)
RR
Connecticut(12/1/2022)
RR
Delaware(12/1/2022)
RR
District of Columbia(12/1/2022)
RR
Florida(12/1/2022)
RR
Georgia(12/1/2022)
RR
Hawaii(12/1/2022)
RR
Idaho(12/1/2022)
RR
Illinois(12/1/2022)
RR
Indiana(12/1/2022)
RR
Iowa(12/1/2022)
RR
Kansas(12/1/2022)
RR
Kentucky(12/1/2022)
RR
Louisiana(12/1/2022)
RR
Maine(12/1/2022)
RR
Maryland(12/1/2022)
RR
Massachusetts(12/1/2022)
RR
Michigan(12/1/2022)
RR
Minnesota(12/1/2022)
RR
Mississippi(12/1/2022)
RR
Missouri(12/1/2022)
RR
Montana(12/1/2022)
RR
Nebraska(12/1/2022)
RR
Nevada(12/1/2022)
RR
New Hampshire(12/1/2022)
RR
New Jersey(12/1/2022)
RR
New Mexico(12/1/2022)
RR
New York(12/1/2022)
RR
North Carolina(12/1/2022)
RR
North Dakota(12/1/2022)
RR
Ohio(12/1/2022)
RR
Oklahoma(12/1/2022)
RR
Oregon(12/1/2022)
RR
Pennsylvania(12/1/2022)
RR
Puerto Rico(12/1/2022)
RR
Rhode Island(12/1/2022)
RR
South Carolina(12/1/2022)
RR
South Dakota(12/1/2022)
RR
Tennessee(12/1/2022)
RR
Texas(12/1/2022)
IAR
Texas(2/10/2023)
RR
Utah(12/1/2022)
RR
Vermont(12/1/2022)
RR
Virginia(12/1/2022)
RR
Washington(12/1/2022)
RR
West Virginia(12/1/2022)
RR
Wisconsin(12/1/2022)
RR
Wyoming(12/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/25/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/14/2019
Investment Company Products/Variable Contracts Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15935 La Cantera Pkwy, San Antonio, TX 78256
Mailing Address
Phone number
(877) 660-4400
Established
Firm type
Fiscal year end
# of Employees
460
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,566 |
| AUM (Assets Under Management) | $ 152,291,202,954 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
