JM
ChFC
JM
ChFC
Judith Mcdaniel
46 Years of Experience
Lawrence, KS
2 DisclosuresBrokerSells Insurance
Judith Mcdaniel is a ChFC-designated registered investment advisor, based in Lawrence, KS, with 46 years of industry experience. Judith is also registered as a broker, so some compensation may come from commissions on products sold.
Location
3705 Clinton Pkwy, Suite 200, Lawrence, KS, 66047
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2007Closed-No Action
Regulatory
May 1982Final
Other Business ActivitiesSells Insurance
Judith sells fixed insurance products including life, disability, annuities, and long-term care. She is also involved with several non-profit organizations and is a co-owner of a financial services business, spending about 10-20% of her time there.
Employment History
Current Registrations
Aw SecuritiesBroker
April 2023 - Present · 3 yrs 6 mos
Aw Securities
April 2023 - Present · 3 yrs 6 mos
Allworth Financial, L.P.
April 2023 - Present · 3 yrs 6 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2006 - April 2023 · 17 yrs 1 mo
Cetera Advisor Networks LLCBroker
November 2005 - April 2023 · 17 yrs 5 mos
Blue Vase Securities, LLCBroker
June 2003 - December 2005 · 2 yrs 6 mos
Commonwealth Financial Network
May 2001 - May 2003 · 2 yrs
Commonwealth Financial NetworkBroker
May 2001 - May 2003 · 2 yrs
The Concord Equity Group, LLCBroker
November 2000 - May 2001 · 6 mos
Walnut Street Securities, INC.Broker
February 1994 - November 2000 · 6 yrs 9 mos
New England SecuritiesBroker
March 1988 - February 1998 · 9 yrs 11 mos
Affinity Financial Advisors
June 1987 - August 2023 · 36 yrs 2 mos
Mutual Service CorporationBroker
April 1985 - December 1993 · 8 yrs 8 mos
Nel Equity Services CorporationBroker
March 1980 - April 1985 · 5 yrs 1 mo
State Registrations29 states
AZCADCFLGAIAILINKSKYLAMAMDMIMONCNENMNYOHOKORPASCTXUTVAWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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