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Information

Other Names: Judith Fishlow, Judith Minter
Firm:
Type: Registered Representative
Description

Judith Minter is a financial professional at RBC Capital Markets, LLC, a broker-dealer with over 5,250 registered representatives nationwide. Judith has held an industry securities registration for 15 years and is subject to FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Judith Fishlow Minter has not answered any questions on Financial Q&A.

Top Guides

Judith Fishlow Minter has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Other Investment Advisors
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
RBC Capital Markets, LLC 2 years, 9 months Jul 2011 - Present
Oakes Fitzwilliams & Co. L.P. 2 years, 1 month May 2009 - Jun 2011
North Sea Partners 2 years, 2 months Apr 2009 - Jun 2011
Citigroup Global Markets Inc. 10 years, 4 months Nov 1998 - Mar 2009
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
07/11/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 06/18/2002
Uniform Securities Agent State Law Examination Series 63 12/27/1996
General Securities Representative Examination Series 7 11/20/1996

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions