JUDY ANN HAWLEY

JUDY ANN HAWLEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 503 N WATER STREET, BLACK RIVER FALLS, WI, 54615.

JUDY ANN HAWLEY has worked at LPL FINANCIAL LLC since January 02, 2001

Disclosure History

JUDY ANN HAWLEY has 1 Disclosure Event(s).

Date: April 17, 1975
Category: Criminal
Charges: RETAIL THEFT NOT RELATED TO INVESTMENTS NOR INSURANCE
Disposition: Convicted
Amended Charges: RETAIL THEFT CHARGE WAS AMENDED TO COUNTY RETAIL THEFT
Amended Charge Type: OTHER Amended Charge
Amended Charge Disposition: Convicted
Broker Comment: I WAS CHARGED WITH RETAIL THEFT FOR TAKING A CAR PART (VALUE APPROX. $5-$7) THAT MY HUSBAND ASKED ME TO TAKE. I PLEAD GUILTY AND PAID A FINE OF $59.00. THIS WAS AN ISOLATED INCIDENT. I WANT YOU TO KNOW THAT FOR THE PAST 25 YEARS MY CHARACTER HAS BEEN VERY GOOD & DECENT. AT AGE 19, I BECAME EMPLOYED WITHT HE JACKSON CO. DEPT. OF HUMAN SERVICES, WHERE I WORKED IN THE FINANCIAL UNIT INTERVIEWING AND PROCESSING APPLICATIONS FOR GOVERNMENT PROGRAMS ADMINISTERED BY THE COUNTY & STATE OF WI. I EVENTUALLY WAS ASSIGNED THE LEAD WORKER DUTIES OF THAT UNIT. I WAS EMPLOYED THERE FOR ALMOST 20 YEARS, AND LEFT IN GOOD STANDING TO JOIN MY CURRENT COMPANY. MOST RECENTLY, I HAVE BEEN SUCCESSFUL INS. REP. IN THE SALES OF INSURANCE, DISABILITY INSURANCE AND SOME HEALTH INSURANCE. I INTERVIEW NEW CUSTOMERS, ACCESS THEIR GOALS AND OFFER OPTIONS AND PLANS TO ASSIST THEM WITH RETIREMENT NEEDS, FINAL EXPENSES AND ETC. I AM CURRENTLY A MERRILLIAN'S LION'S CLUB MEMBER AND A MEMBER OF MY CHURCH, AND ACTIVE IN THE CHURCH CHOIR. IN THE PAST I HAVE BEEN ELECTED AND SERVED AS THE CHURCH TREASURER.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JUDY ANN HAWLEY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.