Judith L. Hric
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 Lynne Hric, who also goes by Judith Hric, Judith L Lester, Judith Hric Pairadee, Judith Pairadee, Judith Lynne Weber, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1977. Judith had worked at 12 firms and has passed the Series 63, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2001 - September 5, 2003
KESTRA INVESTMENT SERVICES, LLC
February 23, 1999 - July 23, 2001
FFP SECURITIES, INC.
December 23, 1996 - November 24, 1998
CENTENNIAL CAPITAL MANAGEMENT, INC.
March 2, 1995 - November 12, 1996
BUCKHEAD FINANCIAL CORPORATION
December 14, 1994 - February 22, 1995
FIRST ASSOCIATED SECURITIES GROUP, INC.
December 1, 1989 - May 26, 1995
FIRST LAUDERDALE SECURITIES, INC.
June 25, 1987 - June 4, 1988
PRIORITY SECURITIES, INC.
May 16, 1985 - June 12, 1987
INVESTACORP, INC.
March 9, 1985 - June 27, 1985
SOUTHEASTERN BROKERAGE SERVICES, INC.
February 25, 1985 - August 20, 1986
STATE CAPITAL FINANCIAL SERVICES CORPORATION
July 26, 1984 - February 12, 1985
FIRST FLORIDA SECURITIES, INC.
November 3, 1977 - June 22, 1984
ARGUS SECURITIES, 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
F04
Date: 10/27/1977
Financial Principal ExaminationSeries 40
Date: 10/27/1977
Registered Principal ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
