JD
Judith A. Dolle
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CRD#: 826135
JD
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 Ann Dolle, who also goes by Judith Ann Davidson, Judith Ann Levy, Judith Ann Metzger, Judith Ann Williams, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1976. Judith had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Judith Ann Davidson | Judith Ann Levy | Judith Ann Metzger | Judith Ann Williams
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.
(1) 11/22/2013 - DOLLE CORPORATION/ BUSINESS ENTITY FOR TAX PURPOSES ONLY/ 1%/ RANCHO MIRAGE, CA (2) 11/22/2013 - HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS/ DBA ONLY/ 100%/ RANCHO MIRAGE, CA (3) 5/14/2018 - Householder Group Estate & Retirement Specialists - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:11/01/2013 - 160 Hour(s) Per Month - Time Spent: 100% - I provide investment advisory services through Householder Group Estate & Retirement Specialists, an independent investment advisor firm. I started this business activity in 11/2013. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (4) 2/20/2020 - SBG, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 02/12/2020 - 8 Hours Per Month During Securities Trading - Offering life insurance and LTC. (5) 12/10/2021 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Start Date: 11/22/2021 - 1 Hour Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 26, 2013 - February 9, 2023
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 169045
RANCHO MIRAGE, CA
Past
November 22, 2013 - February 13, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
RANCHO MIRAGE, CA
Past
October 24, 2013 - November 22, 2013
SSN ADVISORY, INC.
RIA
CRD#: 126090
RANCHO MIRAGE, CA
Past
July 6, 2009 - November 27, 2013
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
RIA
CRD#: 149564
RANCHO MIRAGE, CA
Past
June 29, 2009 - November 22, 2013
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
RANCHO MIRAGE, CA
Past
April 17, 2007 - April 23, 2007
OSAIC SERVICES, INC.
RIA
CRD#: 133763
RANCHO MIRAGE, CA
Past
July 20, 2006 - June 30, 2009
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 107773
SCOTTSDALE, AZ
Past
May 25, 2006 - July 1, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
RANCHO MIRAGE, CA
Past
December 31, 1997 - May 26, 2006
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
May 9, 1988 - May 26, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
August 2, 1983 - May 19, 1988
PROFESSIONAL ASSET SECURITIES, INC.
BD
CRD#: 13065
Past
May 6, 1982 - May 12, 1983
LPL FINANCIAL LLC
BD
CRD#: 6413
Past
January 31, 1980 - December 10, 1983
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
September 16, 1977 - August 15, 1980
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
May 9, 1977 - September 16, 1977
BACHE HALSEY STUART INC.
BD
CRD#: 7238
Past
September 1, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
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".
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
Registered Investment Advisory firm - (9/20/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
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Contact information
Main Address
8985 E. Bell Road, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 604-0600
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,804 |
| AUM (Assets Under Management) | $ 277,447,180 |
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
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
CRD#: 169045TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
