Alice J. Judge
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.
Alice Jane Judge, who also goes by Alice J Dowgiallo, Alice J Judge, was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 1979. Alice had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 1, Series 14, Series 24, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 1979 - February 5, 2024
JUDGE & ASSOCIATES, INC.
January 11, 1979 - November 12, 1979
JOSEPH P. MCGIVNEY AND ASSOCIATES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 1/4/1979
Registered Representative ExaminationCurrent Firm
JUDGE & ASSOCIATES, INC.
CRD#: 8045 / SEC#: , 8-24152
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUDGE, ALICE JANE | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 861369 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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