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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)32 years in industry

JAMES ORDELL JUDD

Advisor at CETERA INVESTMENT ADVISERS LLC

CLEVELAND, OH | Bedford, OH

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Search this name across graphsid dfx:ria:e48d7261-88b8-3c73-fe69-74cea96d4f76

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 15, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 8, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S63|S65
First exam: Aug 8, 1994
First registration: Oct 15, 1999
Dual registered: yes, broker-dealer
Other names: DELL JUDD
IAPD individual key: 1058679

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	CLEVELAND, OH\|Bedford, OH	Current employment
VANTAGE FINANCIAL GROUP, INC.	Independent wealth	Jul 21, 2021	n/a	yes	CLEVELAND, OH	Current employment
LION STREET ADVISORS, LLC	Former SEC adviser	Jul 2, 2018	Oct 1, 2020	no	Cleveland, OH	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Nov 1, 2017	Jul 5, 2018	no	CLEVELAND, OH	Previous registration
GIRARD SECURITIES, INC.	Former SEC adviser	Feb 1, 2006	Nov 1, 2017	no	FT. MYERS, FL\|DENVER, NC\|CLEVELAND, OH\|SAN DIEGO, CA	Previous registration
OSWALD FINANCIAL, INC.	n/a	Mar 27, 2003	Dec 1, 2009	no	CLEVELAND, OH\|CLEVELAND, OH	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 15, 1999	Feb 2, 2006	no	CLEVELAND, OH\|CLEVELAND, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LION STREET ADVISORS, LLC	VANTAGE FINANCIAL GROUP, INC.	Oct 1, 2020	Jul 21, 2021	293	Firm change	Ibd to RIA
CETERA ADVISOR NETWORKS LLC	LION STREET ADVISORS, LLC	Jul 5, 2018	Jul 2, 2018	-3	Firm change	Ibd to ibd
GIRARD SECURITIES, INC.	CETERA ADVISOR NETWORKS LLC	Nov 1, 2017	Nov 1, 2017	0	Bulk transfer	Other
OSWALD FINANCIAL, INC.	GIRARD SECURITIES, INC.	Dec 1, 2009	Feb 1, 2006	-1,399	Firm change after gap	Other
LPL FINANCIAL LLC	OSWALD FINANCIAL, INC.	Feb 2, 2006	Mar 27, 2003	-1,043	Firm change after gap	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ VANTAGE FINANCIAL GROUP, INC.Registered adviserregistration: current employment
Jul 21, 2021 to presentfactForm ADV
→ LION STREET ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 2, 2018 to Oct 1, 2020factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Nov 1, 2017 to Jul 5, 2018factForm ADV
→ GIRARD SECURITIES, INC.Registered adviserregistration: previous registration
Feb 1, 2006 to Nov 1, 2017factForm ADV
→ OSWALD FINANCIAL, INC.Registered adviserregistration: previous registration
Mar 27, 2003 to Dec 1, 2009factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 15, 1999 to Feb 2, 2006factForm ADV

Dated events

No dated event names this entity yet.