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STEPHEN ROBERT JUDGE
STEVE JUDGE
CRD#: 1282634
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1 OAK STREET, STE. 206
ASHVILLE, NC 28801
Registration History
1985199019952000200520102015202020252 FIRMS1984 - 1987 (2 years)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - 2017 (1 year)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - Present (5 years)BEDWARD JONES (CRD# 250)2004 - 2007 (3 years)BEDWARD JONES (CRD# 250)1997 - 2004 (6 years)BBB&T INVESTMENT SERVICES OF SO... (CRD# 36257)1996 - 1997 (1 year)BBB&T INVESTMENT SERVICES, INC. (CRD# 33856)1993 - 1997 (3 years)BJEFFERSON-PILOT INVESTOR SERVI... (CRD# 5178)1992 - 1993 (<1 year)BCOMPULIFE INVESTOR SERVICES, INC. (CRD# 21543)1990 - 1992 (2 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1988 - 1990 (2 years)IAEDWARD JONES (CRD# 250)2006 - 2007 (<1 year)
Disclosure(s)
View By:
8/8/2008
Customer Dispute
Denied
9/18/1997
Customer Dispute
Settled
License(s)

State Registrations

B
Arkansas 9/2/2020

B
North Carolina 10/3/2019

B
Colorado 9/8/2021

IA
North Carolina 10/3/2019

B
Florida 10/3/2019

B
South Carolina 10/16/2019

B
Georgia 10/4/2019

B
Tennessee 10/3/2019

B
Indiana 10/3/2019

B
Texas 12/4/2019

B
New Jersey 3/30/2021

IA
Texas 12/4/2019

B
New York 8/8/2021

B
Virginia 10/3/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1 OAK STREET, STE. 206, ASHVILLE, NC 28801
Registered with this firm since 10/3/2019

B
LPL FINANCIAL LLC (CRD#:6413)
1 OAK STREET, STE. 206, ASHVILLE, NC 28801
Registered with this firm since 10/3/2019

Previous Registration(s)
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IA
03/25/2017 - 10/07/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) Asheville, NC
B
03/25/2017 - 10/07/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) Asheville, NC
IA
08/31/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) Asheville, NC
B
08/17/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) Asheville, NC
IA
10/26/2012 - 08/20/2015 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) ASHEVILLE, NC
B
10/26/2012 - 08/20/2015 SECURITIES AMERICA, INC. (CRD#:10205) ASHEVILLE, NC
IA
03/27/2009 - 11/09/2012 INVEST FINANCIAL CORPORATION (CRD#:12984) ASHEVILLE, NC
B
03/27/2009 - 11/09/2012 INVEST FINANCIAL CORPORATION (CRD#:12984) ASHEVILLE, NC
IA
01/01/2008 - 03/27/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) ASHEVILLE, NC
B
01/01/2008 - 03/27/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) ASHEVILLE, NC
B
05/25/2007 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ASHEVILLE, NC
IA
05/25/2007 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ASHEVILLE, NC
IA
10/05/2006 - 05/30/2007 EDWARD JONES (CRD#:250) ASHEVILLE, NC
B
02/11/2004 - 05/30/2007 EDWARD JONES (CRD#:250) ASHEVILLE, NC
B
05/07/1997 - 01/22/2004 EDWARD JONES (CRD#:250) ST. LOUIS, MO
B
02/07/1996 - 05/12/1997 BB&T INVESTMENT SERVICES OF SOUTH CAROLINA, INC. (CRD#:36257)
B
09/22/1993 - 05/12/1997 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) CHARLOTTE, NC
B
09/15/1992 - 08/18/1993 JEFFERSON-PILOT INVESTOR SERVICES, INC. (CRD#:5178) FORT WAYNE, IN
B
03/31/1990 - 09/11/1992 COMPULIFE INVESTOR SERVICES, INC. (CRD#:21543) ST. CLOUD, MN
B
01/28/1988 - 02/13/1990 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
07/25/1984 - 05/06/1987 EQUICO SECURITIES, INC. (CRD#:6627)
B
07/25/1984 - 04/20/1987 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.