Carlos E. 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.
Carlos Elton Johnson JR, who also goes by Carlos Elton Jr Johnson, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1982. Carlos had worked at 8 firms and has passed the Series 63 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
February 8, 1997 - March 19, 1997
NORTHEAST SECURITIES, LLC
August 6, 1992 - February 6, 1997
RAYMOND JAMES & ASSOCIATES, INC.
October 30, 1989 - November 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 1989 - August 13, 1992
UBS FINANCIAL SERVICES INC.
June 20, 1988 - November 1, 1989
KIDDER, PEABODY & CO. INCORPORATED
July 24, 1984 - June 21, 1988
CITIGROUP GLOBAL MARKETS INC.
August 16, 1983 - June 7, 1984
FIRST INTERWEST SECURITIES CORPORATION
December 21, 1982 - August 15, 1983
BLINDER, ROBINSON & 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
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
