Larry A. Johnson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Larry Alan Johnson was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1983. Larry had worked at 4 firms and has passed the Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2001 - November 10, 2003
BANC ONE SECURITIES CORPORATION
May 10, 1989 - September 12, 1989
OLD KENT FINANCIAL ADVISORS
October 23, 1987 - August 1, 1988
RODMAN & RENSHAW INC.
January 21, 1983 - November 12, 1987
H. B. SHAINE & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BANC ONE SECURITIES CORPORATION
CRD#: 16999 / SEC#: , 8-34881
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDING CORPORATION | HOLDING COMPANY | |
| ANDERSON, ELLEN FOWLER | ASSISTANT SECRETARY | 1819869 |
| BERRY, JAMES C. P. | SECRETARY | 4361911 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DAVIS, JEFFREY L | ASSISTANT SECRETARY | |
| DONOVAN, DAVID EDWIN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1081912 |
| FELKER, WILLIAM ROBERT | PRESIDENT & CEO, DIRECTOR | 2354456 |
| KRAMER, JOHN MCDEVITT | CHIEF COMPLIANCE OFFICER | 2350116 |
| MACLELLAN, JOHN STEPHEN | SENIOR VICE PRESIDENT, DIRECTOR | 1050214 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| REED, MICHAEL JOHN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1553478 |
| SAMSON, TIMOTHY HUGH | ASSISTANT SECRETARY | 4603479 |
| SCHARF, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2123345 |
| WARTA, TERESA LYNN | TREASURER & CFO | 2055433 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
