Judson R. Maillie
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.
Judson Roy Maillie, who also goes by Jud Maillie, was a registered financial professional .
Judson is a previously registered financial professional and started their career in finance in 1976. Judson had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2011 - December 31, 2016
INVESTMENT ADVISORS CORP
July 18, 2011 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
October 8, 2009 - July 19, 2011
CINCINNATI ANALYSTS, INC.
October 8, 2009 - July 19, 2011
CINCINNATI ANALYSTS, INC.
October 25, 2005 - October 5, 2009
NEW ENGLAND SECURITIES
March 3, 2005 - October 5, 2009
NEW ENGLAND SECURITIES
June 9, 2003 - October 22, 2004
MARC J. LANE & COMPANY
October 24, 2001 - January 29, 2003
WADDELL & REED
September 24, 2001 - January 29, 2003
WADDELL & REED
January 2, 1997 - April 28, 2000
ABN AMRO INCORPORATED
January 16, 1990 - January 2, 1997
THE CHICAGO CORPORATION
December 19, 1986 - January 19, 1990
MESIROW INVESTMENT SERVICES, INC.
July 3, 1985 - January 8, 1987
MESIROW FINANCIAL, INC.
July 28, 1982 - July 15, 1985
E. F. HUTTON & COMPANY INC
July 24, 1980 - August 2, 1982
MOSELEY SECURITIES CORPORATION
January 28, 1976 - June 26, 1977
H.O. PEET & CO., INC.
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
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
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.
