Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judith? Claim Your ProfileJudith Finnerty is a financial advisor at Wells Fargo Clearing Services, LLC. Judith has been in the financial services industry for over 25 years. Judith has Series 7, 9, 10, 31, and 63 licenses. Judith previously worked at RAYMOND JAMES & ASSOCIATES, INC. and JANNEY MONTGOMERY SCOTT LLC. Judith provides investment consulting services to institutional clients and individuals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
FL
07/23/2019 - Present
Wells Fargo Clearing Services, LLC (CORAL SPRINGS FL)
FL
07/02/2013 - 07/18/2019
RAYMOND JAMES & ASSOCIATES, INC. (Weston FL)
FL
02/12/2003 - 05/28/2013
JANNEY MONTGOMERY SCOTT LLC (BOCA RATON FL)
MA
07/12/1994 - 12/03/2001
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BC
Issued 12/20/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/12/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/29/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 07/11/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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