William D. 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.
William Douglas Johnson JR, who also goes by William Douglas Jr Johnson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2010 - March 14, 2011
PRISM FUNDS, LLC
February 17, 2010 - March 30, 2015
MCDONALD PARTNERS LLC
February 17, 2010 - March 30, 2015
MCDONALD PARTNERS LLC
June 12, 2009 - December 31, 2009
PRISM FUNDS, LLC
October 6, 2005 - December 31, 2009
AMERICAN SECURITIES GROUP, INC.
October 6, 2005 - December 31, 2009
AMERICAN SECURITIES GROUP, INC.
June 15, 2002 - September 28, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 15, 2002 - September 28, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 27, 1997 - June 20, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
December 10, 1996 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
July 31, 1993 - December 16, 1996
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
August 21, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
January 21, 1982 - August 30, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 5
Date: 3/2/1982
Interest Rate Options ExaminationSeries 8
Date: 3/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PRISM FUNDS, LLC
CRD#: 147911 / SEC#: 801-69533
Contact information
Red Flags
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