Judith Metts, Office of Supervisory Jurisdiction (OSJ) Manager
"My role as OSJ Manager is to supervise and monitor the activities of the Investment Group’s registered representatives and associated persons to achieve compliance with applicable securities laws and regulations and with FINRA rules.
I am securities licensed (Series 6, 7, 24, 53 and 63) through CUSO Financial Services, L.P., our broker-dealer, as well as insurance licensed. I have more than 36 years experience in the financial services industry."
"My role as OSJ Manager is to supervise and monitor the activities of the Investment Group’s registered representatives and associated persons to achieve compliance with applicable securities laws and regulations and with FINRA rules.
