James Judd has been an investment adviser representative at Vantage Financial Group since July 2021, and is not listed among the firm’s executive officers or direct owners.
Vantage Financial Group, Inc. is a Cleveland, OH firm with $867M under management, 2,521 clients and 22 advisers across 7 offices, as of its March 2026 filing.
James Judd’s longest registration was 11 years at Girard Securities, Inc. (2006–2017). Before joining Vantage Financial Group in 2021, James Judd was registered through Cetera Advisor Networks LLC and Lion Street Advisors, LLC.
- Cetera Investment Advisers LLCAlso current– present · 3 yearsAdviser representative · Firm CRD 105644
- – present · 5 yearsCleveland, OH · Adviser representative · Firm CRD 105950
- Cetera Advisor Networks LLC– · 2 yearsEl Segundo, CA · Adviser representative · Firm CRD 13572
- Lion Street Advisors, LLC– · 2 yearsCleveland, OH · Adviser representative · Firm CRD 167610
- Cetera Advisor Networks LLC– · under a yearCleveland, OH · Adviser representative · Firm CRD 13572
- Girard Securities, Inc.– · 11 yearsCleveland, OH · Adviser representative · Firm CRD 18697
- Oswald Financial, Inc.– · 6 yearsCleveland, OH · Adviser representative · Firm CRD 124668
- Linsco/Private Ledger Corp.– · 6 yearsCleveland, OH · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
James Judd is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from July 2021; the most recent is Texas, in June 2023.
- OhioSince 21 July 2021
- TexasSince 19 August 2021
- TexasResidentSince 29 June 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 51 | Municipal Fund Securities Principal Examination | 9 June 2006 |
| Series 65 | Uniform Investment Adviser Law Examination | 17 June 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 August 1994 |
| Series 24 | General Securities Principal Examination | 8 April 1994 |
| Series 7 | General Securities Representative Examination | 16 March 1985 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 August 1982 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Ordell Judd
- CRD
- 1058679
- Firm
- Vantage Financial Group · CRD 105950
- Office
- 6200 ROCKSIDE ROAD, Cleveland, OH 44131
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1982
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Judd work?
James Judd is an investment adviser representative registered through Vantage Financial Group, Inc. since July 2021, and is not listed among the firm’s executive officers or direct owners.
Is James Judd a financial advisor?
Yes. James Judd has a current investment-adviser registration in Ohio, Texas and Texas, through Vantage Financial Group since July 2021.
How many years of experience does James Judd have?
James Judd has 44 years in the financial industry, since September 1982, across 7 adviser firms.
What exams has James Judd passed?
James Judd has passed 6 licensing exams: the Series 6, Series 7, Series 24, Series 63, Series 65 and Series 51. The earliest, the Series 6, was passed in August 1982. FINRA credited James Judd with the SIE, which began in October 2018.
Where did James Judd work before Vantage Financial Group?
Before Vantage Financial Group, James Judd was registered through Lion Street Advisors, LLC, July 2018 to October 2020; Cetera Advisor Networks LLC, November 2017 to July 2018; Girard Securities, Inc., February 2006 to November 2017; Oswald Financial, Inc., March 2003 to December 2009; Linsco/Private Ledger Corp., October 1999 to February 2006.
Where is James Judd based?
James Judd’s registered office is in Cleveland, OH.
Is James Judd registered with FINRA?
Yes. James Judd has a current broker registration, under CRD 1058679.
Source: FINRA BrokerCheck
How can I verify James Judd’s record?
Search CRD 1058679 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Judd’s full registration record.
