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Judie Tapia

Rothschild & Co. US Inc.

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About Judie Tapia

Judie Tapia is an investment banking professional with experience in the financial services industry. Judie has passed the Securities Industry Essentials Examination (SIE) and the Investment Banking Registered Representative Examination (Series 79TO). Judie is currently registered with Rothschild & Co. US Inc. as a Registered Representative.

Firm Information

Judie Tapia is currently registered with Rothschild & Co. US Inc.. Rothschild & Co. US Inc. is a corporation formed in July 1967 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is regulated by the SEC and has one regulatory event on record.

Not reported

Assets Under Management

Not reported

Total Clients

91

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Judie Tapia’s Registration & Firm History

NY

07/18/2022 - Present

Rothschild & Co. US Inc. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/16/2022

SIE - Securities Industry Essentials Examination

BC

Issued 07/01/2022

Series 79TO - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Judie Tapia.
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