Clifford C. Johanning
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.
Clifford Carlos Johanning, who also goes by Cliff Johanning, Cliff Johnanning, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1982. Clifford had worked at 20 firms and has passed the Series 63, 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
July 17, 2013 - October 7, 2013
COUNTRY CAPITAL MANAGEMENT COMPANY
July 5, 2007 - December 8, 2009
PRIVATE ASSET GROUP, INC.
March 30, 2006 - June 29, 2007
QA3 FINANCIAL CORP.
June 19, 2002 - March 30, 2006
GREAT NORTHERN FINANCIAL SECURITIES, INC.
June 22, 2001 - July 16, 2002
FIRST MONTAUK SECURITIES CORP.
February 1, 2000 - June 20, 2001
METROPOLITAN INVESTMENT SECURITIES, INC.
October 19, 1999 - January 3, 2000
NEVWEST SECURITIES CORPORATION
April 26, 1999 - June 9, 1999
SENTRA SECURITIES CORPORATION
October 21, 1997 - January 28, 1998
AMERICAN FRONTEER FINANCIAL CORPORATION
July 15, 1997 - October 24, 1997
SAN CLEMENTE SECURITIES, INC.
April 24, 1995 - January 17, 1997
OSAIC WEALTH, INC.
May 12, 1994 - July 11, 1994
BMA FINANCIAL SERVICES, INC.
April 18, 1991 - September 11, 1992
CITIGROUP GLOBAL MARKETS INC.
August 10, 1989 - February 8, 1991
SECURITIES AMERICA, INC.
October 18, 1988 - January 10, 1989
FINANCIAL WEST INVESTMENT GROUP
February 6, 1985 - September 29, 1988
FSC SECURITIES CORPORATION
July 21, 1984 - September 25, 1984
UR FINANCIAL, INC.
March 24, 1983 - May 9, 1984
INTERFIRST CAPITAL CORPORATION
August 12, 1982 - November 4, 1982
BRETCOURT SECURITIES CORPORATION
May 24, 1982 - January 10, 1983
SOUTHMARK FINANCIAL SERVICES, 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
COUNTRY CAPITAL MANAGEMENT COMPANY
CRD#: 12060 / SEC#: , 8-12645
Contact information
FINRA licenses (31 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BULL, DAVID B | PRINCIPAL OPERATIONS OFFICER | 5287948 |
| DARMSTAEDTER, GEOFFREY FREDERICK | CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5709185 |
| DODDS, ALAN KEITH | VICE PRESIDENT - FINANCE & TREASURER | 5660784 |
| DUNCAN, BRIAN KEITH | CHAIRMAN OF THE BOARD & DIRECTOR | 6904912 |
| ELLERMAN, DOUGLAS JOSEPH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6096851 |
| FLETCHER, JEREMIAH DEAN | CHIEF INFORMATION SECURITY OFFICER | 6970583 |
| FRERICHS, TROY MITCHELL | CEO, EXECUTIVE REPRESENTATIVE | 4133454 |
| GREEN, DENNIS WAYNE | DIRECTOR | 6904908 |
| HARRIS, TIMOTHY JOHN | EXECUTIVE VICE PRESIDENT OF AGENCY | 3155020 |
| MEISS, DAVID LEE | DIRECTOR | 6904884 |
| SCHUTZ, CHAD KENNETH | DIRECTOR | 6904905 |
| VANCE, JENNIFER LYNN | GENERAL COUNSEL, SECRETARY & CHIEF LEGAL OFFICER | 7040592 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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