Judith Knudsen
Allen,TX
Summary
Accomplished Financial Services Attorney with progressive industry background and decisive leadership style. Offers strategic planning abilities, background in financial services, with focus on securities regulation and forward-thinking mindset. Ready for challenges and focused on meeting future demands.
Overview
31
31
years of professional experience
Work History
Vice President, Deputy General Counsel
Avantax Wealth Management, Inc.
11.2019 - 06.2024
- Responsible for providing legal advice and guidance to the organization and the oversight of general corporate matters
- Negotiated high-value contracts that maximized profitability while mitigating risks for the organization.
- Collaborated with senior management to develop strategic initiatives and long term goals.
- Assisted with mergers and acquisitions activities that expanded company footprint into new markets or regions while leading integration processes postacquisition.
- Analyzed legal documents and identified pertinent issues
- Managed litigation and negotiated settlements with opposing counsel.
- Mitigated regulatory risks by providing advice regarding securities and insurance regulations, including oversight of securities regulatory investigations and enforcement actions
- Oversaw the organizational errors and omissions insurance policies and successfully negotiated favorable pricing on an annual basis.
Assistant Vice President, General Counsel
1st Global – Dallas, Texas
03.2014 - 11.2019
- Responsible for managing all legal operations including managing commerical contracts and general legal matters for the firm including managing commerical vendor contracts and relationships, litigation, regulatory inquiries and oversight of general corporate matters
- Responsible for the firm’s Risk Management organization, which includes internal controls and securities risk management
- Responsible for providing insight and recommendations to the firms’ Compliance and Regulatory Principal organizations regarding best practices for mitigating regulatory, technology and financial risks as they relate to the supervision of registered representatives.
- Established a high-performance culture within the team by setting clear expectations and providing regular feedback on individual performance contributions.
Senior Vice President, General Counsel
Williams Financial – Dallas, Texas
03.2013 - 03.2014
- Responsible for all legal matters, commercial contracts, employment matters, litigation, securities regulatory matters and leading the re-design of the firm’s Compliance organization as Chief Compliance Officer of WFG Investments, Inc., a FINRA registered broker dealer and WFG Advisors, LP, an SEC Registered Investment Advisor.
Senior Counsel
Blue River Partners, LLC
02.2012 - 02.2013
- Provided private fund clients assistance with federal and state investment adviser registration and compliance requirements which include drafting regulatory filings such as the Form ADV I and Form ADV 2A Brochure and Part 2B Brochure Supplement and all other required regulatory filings (Schedule D/G, Forms 3/4/5, Forms S/SLT, BEA 185, 13F Report, Form D, blue sky filings, Hart Scott Rodino) as necessary
- Provided assistance with the review and drafting of investor subscription documentation during the registration/formation process.
Assistant General Counsel
1st Global - Dallas, Texas
03.2003 - 02.2012
- Responsible for managing dispute resolution, including all litigation matters involving 1st Global involving firm customers, Financial Advisors, and regulatory enforcement actions
- Served as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning the Investment Company Act of 1940, Investment Advisors Act, Securities and Exchange Act of 1933 and 1934 and other related securities laws
- Additional responsibilities include providing guidance with respect to matters pertaining to corporate governance, such as drafting corporate resolutions.
Attorney
Hulse Stucki, LLC - Las Colinas, Texas
10.2001 - 03.2003
- Represented and provided legal advice to corporate clients concerning corporate formation, contract disputes, employment disputes, and shareholder derivative actions
- Prepared legal pleadings and conducted discovery for litigation matters
- Areas of Practice included securities law, corporate law, employment law and intellectual property.
Assistant Vice President
Principal Financial Securities, Inc. - Dallas, Texas
11.1995 - 04.1998
- Monitored firm and retail trading activity on a daily basis and in response to specific management requests
- Investigated and responded to customer complaints and regulatory inquiries
- Coordinated with Corporate Finance and Research Departments to maintain Chinese wall procedures
- Successfully interfaced with SEC, NYSE, and NASD regulators as needed
- I resigned from this position to attend law school.
Compliance Analyst
H.D. Vest Investment Securities, Inc. - Las Colinas, Texas
02.1994 - 11.1995
- Reviewed firm investment activity
- Performed due diligence, account investigations and rule interpretations
- Conducted general compliance reviews in response to regulatory inquiries
- Investigated and prepared firm responses to customer complaints and regulatory inquiries
- Assisted the Chief Compliance Officer with special projects.
Investment Consultant
The Principal/Eppler, Guerin & Turner, Inc. - Dallas, Texas
02.1993 - 12.1993
- Advised clients on financial strategies and assisted with the investment allocation
- Reviewed analysis of publicly traded companies for possible investment recommendations to clients.
Education
J.D. -
Texas Wesleyan University School of Law
12.2000
Summer Abroad Program - International Business Law and International Environmental Law -
American University Washington College of Law
01.2000
Bachelor of Business Administration -
Stephen F. Austin State University
12.1992
Skills
- Team Leadership
- Relationship Building
- Decision-Making
- Critical Thinking
- Risk Management
- Litigation Management
Barmemberships
- Colorado State Bar, admitted April, 2001
- Texas State Bar, admitted November 2002
- United States District Court Northern District, admitted May 2002
- United States Supreme Court, admitted May 2006
Membershipsandprofessionalassociations
- Dallas Bar Association
- Colorado Bar Association
- Financial Services Institute, Compliance Council Secretary
Timeline
Vice President, Deputy General Counsel
Avantax Wealth Management, Inc.
11.2019 - 06.2024
Assistant Vice President, General Counsel
1st Global – Dallas, Texas
03.2014 - 11.2019
Senior Vice President, General Counsel
Williams Financial – Dallas, Texas
03.2013 - 03.2014
Senior Counsel
Blue River Partners, LLC
02.2012 - 02.2013
Assistant General Counsel
1st Global - Dallas, Texas
03.2003 - 02.2012
Attorney
Hulse Stucki, LLC - Las Colinas, Texas
10.2001 - 03.2003
Assistant Vice President
Principal Financial Securities, Inc. - Dallas, Texas
11.1995 - 04.1998
Compliance Analyst
H.D. Vest Investment Securities, Inc. - Las Colinas, Texas
02.1994 - 11.1995
Investment Consultant
The Principal/Eppler, Guerin & Turner, Inc. - Dallas, Texas
02.1993 - 12.1993
J.D. -
Texas Wesleyan University School of Law
Summer Abroad Program - International Business Law and International Environmental Law -
American University Washington College of Law
Bachelor of Business Administration -
Stephen F. Austin State University