Judith H. Lloyd
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 Holzel Lloyd, who also goes by Judith Holzel Brush, Judith Clare Holzel, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1980. Judith had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 1999 - May 2, 2001
FIRST RESEARCH FINANCIAL
March 1, 1995 - August 1, 1997
BOFA DISTRIBUTORS, INC.
February 2, 1990 - March 1, 1995
COLONIAL INVESTMENT SERVICES
May 23, 1985 - February 2, 1990
COLONIAL INVESTMENT SERVICES, INC.
June 23, 1982 - April 25, 1985
MORGAN STANLEY DW INC.
December 29, 1980 - June 9, 1982
OTC NET INCORPORATED
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
Current Firm
FIRST RESEARCH FINANCIAL
CRD#: 27915 / SEC#: , 8-43308
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
