Audrey A. Johnson
Professional summary
Audrey Ann Johnson is a registered financial professional currently at PTI SECURITIES & FUTURES L. P. located in Chicago, Illinois.
Audrey is registered as a RR (Registered Representative) and started their career in finance in 1981. Audrey has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Audrey Ann Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 1991 - Present
PTI SECURITIES & FUTURES L. P.
Office #1: 411 S Wells Suite 900, Chicago, IL 60607April 4, 1988 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
December 24, 1981 - August 27, 1987
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
PTI SECURITIES & FUTURES L. P.
CRD#: 29275 / SEC#: , 8-44412
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAUGH INC,. | GENERAL PARTNER | |
| NKH CORPORATION | LIMITED PARTNER | |
| DYER, JOHN ROBERT | LIMITED PARTNER | |
| SHAPIRO, MELVIN | LIMITED PARTNER | |
| SPITALNY, ROBIN | LIMITED PARTNER | 1267339 |
| HAUGH, DANIEL JOHN | CHIEF COMPLIANCE OFFICER, FINOP, EXECUTIVE REPRESENTATIVE, AMLCO, ROSFP | 2162854 |
| HAUGH, THOMAS PATRICK | CEO - EXECUTIVE OFFICER | |
| NAJARIAN, JON ARTHUR | LIMITED PARTNER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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