Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy Ann Galbraith is a financial advisor who has been in the industry since 1993. Judy is currently registered with RBC Capital Markets, LLC and has been with the firm since March 2008. Judy has prior experience with a number of other firms including Dain Rauscher Incorporated, Rauscher Pierce Refsnes, Inc., Smith Barney Inc. and Lehman Brothers Inc. Judy has a broad range of experience and holds several licenses and certifications, including Series 7, Series 9, Series 10, Series 63, and Series 65. Judy also has experience with a number of different client types including high-net-worth individuals, corporations, and charitable organizations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
03/02/1998 - Present
RBC Capital Markets, LLC (MIDLAND TX)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
04/29/1997 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NY
07/31/1993 - 05/12/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
05/11/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 10/07/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/11/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/25/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/24/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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