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Detailed Report
DENNIS JUDD
DENNIS GEORGE JUDD
CRD#: 2447827
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 1670 BROADWAY, SUITE 3300
DENVER REGIONAL
DENVER, CO 80202-5602
Registration History
19952000200520102015202020252 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - Present (7 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2006 - 2015 (8 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1999 - 2006 (7 years)BPEOPLE'S SECURITIES, INC. (CRD# 13704)1995 - 1999 (3 years)BAUERBACH, POLLAK & RICHARDSON INC. (CRD# 29824)1995 - 1995 (<1 year)BGILFORD SECURITIES INCORPORATED (CRD# 8076)1994 - 1995 (<1 year)IATIAA-CREF ADVICE AND PLANNING ... (CRD# 20472)2007 - 2015 (8 years)
License(s)

State Registrations

B
Colorado 7/21/2017
B
Illinois 7/21/2017
IA
Colorado 7/21/2017
B
Massachusetts 2/21/2020
B
Connecticut 2/21/2020
B
New Hampshire 2/21/2020
B
Florida 2/24/2020
B
Rhode Island 2/21/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
1670 BROADWAY, SUITE 3300 DENVER REGIONAL, DENVER, CO 80202-5602
Denver, CO
Registered with this firm since 7/21/2017
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
1670 BROADWAY, SUITE 3300 DENVER REGIONAL, DENVER, CO 80202-5602
Denver, CO
Registered with this firm since 7/21/2017
Previous Registration(s)
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B
 04/08/2015 - 07/03/2017 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) GREENWOOD VILLAGE, CO
IA
 04/14/2015 - 06/30/2017 STRATEGIC ADVISERS, INC. (CRD#:104555) GREENWOOD VILLAGE, CO
IA
 02/19/2007 - 03/19/2015 TIAA-CREF ADVICE AND PLANNING SERVICES (CRD#:20472) DENVER, CO
B
 10/24/2006 - 03/19/2015 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) DENVER, CO
B
 07/15/1999 - 09/05/2006 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
B
 08/01/1995 - 06/30/1999 PEOPLE'S SECURITIES, INC. (CRD#:13704) BRIDGEPORT, CT
B
 02/21/1995 - 05/03/1995 AUERBACH, POLLAK & RICHARDSON INC. (CRD#:29824) STAMFORD, CT
B
 07/29/1994 - 02/15/1995 GILFORD SECURITIES INCORPORATED (CRD#:8076) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.