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JUDY A. FREDRICKSON
JUDY ANN FREDRICKSON, JUDY ANN HARLAN
CRD#: 4580067
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 80 SOUTH 8TH STREET
SUITE 3040
MINNEAPOLIS, MN 55402
SUITE 3040
MINNEAPOLIS, MN 55402
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Disclosures
22
Years of Experience
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State Registrations
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Alabama 1/8/2020
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Montana 10/4/2016
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Arizona 4/10/2012
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Nebraska 1/29/2025
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Arkansas 10/6/2023
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Nevada 10/5/2018
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California 4/10/2012
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New Jersey 1/5/2017
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Colorado 3/20/2014
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New York 4/10/2012
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Connecticut 2/6/2025
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North Carolina 1/29/2025
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Delaware 12/17/2012
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North Dakota 1/5/2017
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Florida 4/10/2012
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Ohio 4/11/2018
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Georgia 11/26/2014
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Oregon 4/10/2012
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Hawaii 1/13/2025
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Pennsylvania 10/9/2017
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Idaho 4/10/2012
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Puerto Rico 6/14/2021
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Illinois 4/10/2012
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South Carolina 12/7/2021
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Illinois 1/11/2017
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South Dakota 4/12/2013
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Indiana 12/21/2017
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Tennessee 12/7/2021
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Iowa 8/3/2018
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Texas 10/29/2013
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Kansas 1/29/2025
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Texas 6/10/2014
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Kentucky 6/13/2024
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Utah 10/16/2020
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Maryland 4/10/2012
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Utah 1/3/2024
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Massachusetts 11/11/2013
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Virginia 10/6/2020
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Michigan 8/10/2012
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Washington 11/19/2018
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Minnesota 4/10/2012
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Wisconsin 7/24/2014
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Minnesota 12/9/2013
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Wyoming 1/29/2025
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Missouri 1/10/2017
SRO Registrations
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IA
Registered with this firm since 4/10/2012
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Registered with this firm since 4/10/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/11/2002 - 04/18/2012 | NEW YORK, NY | |
B | 10/31/2002 - 04/18/2012 | MINNEAPOLIS, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.