Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy Thompson is a financial advisor with LPL Financial LLC in Batavia, New York. Judy has been in the financial services industry since December 1996 and has a wide range of experience in providing financial advice to individuals and businesses. Judy holds several licenses and certifications, including Series 7, 31, and 66. She is also registered in multiple states, including Florida, Illinois, New York, Pennsylvania, and Virginia.
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.
Consulting and other non-discretionary advisory services
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.
1
2
NY
08/03/2021 - Present
LPL Financial LLC (BATAVIA NY)
NY
09/11/2009 - 05/05/2011
MORGAN STANLEY SMITH BARNEY (WILLIAMSVILLE NY)
NY
06/30/2003 - 02/24/2009
CITIGROUP GLOBAL MARKETS INC. (WILLIAMSVILLE NY)
NY
11/24/1993 - 07/17/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 11/08/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/22/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Judy Thompson is the right advisor for you? Invested Better is here to help.
