Dorothy N. 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.
Dorothy N Johnson, who also goes by Dorothy Neid Johnson, Dottie Johnson, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1982. Dorothy had worked at 19 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2021 - October 29, 2021
J.W. COLE FINANCIAL, INC.
February 12, 2021 - July 15, 2021
LPL FINANCIAL LLC
September 27, 2018 - December 31, 2019
CENTAURUS FINANCIAL, INC.
April 19, 2013 - October 11, 2017
LPL FINANCIAL LLC
May 15, 2012 - August 28, 2012
CAPITAL BROKERAGE CORPORATION
May 26, 2011 - November 3, 2011
NATIONWIDE SECURITIES, LLC
November 6, 2000 - December 13, 2010
OSAIC WEALTH, INC.
June 15, 1998 - October 9, 2000
RAYMOND JAMES & ASSOCIATES, INC.
February 4, 1998 - April 15, 1998
PREFERRED SECURITIES GROUP, INC.
October 15, 1996 - January 8, 1998
JOSEPH CHARLES & ASSOC., INC.
October 9, 1995 - June 11, 1996
PIONEER SECURITIES, INC.
August 14, 1993 - November 14, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
September 17, 1992 - July 2, 1993
FIMCO SECURITIES GROUP, INC.
November 1, 1991 - December 9, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 12, 1989 - August 13, 1991
CAPITAL BROKERAGE CORPORATION
October 18, 1988 - April 19, 1989
LEHMAN BROTHERS INC.
July 11, 1986 - July 25, 1988
TRUIST INVESTMENT SERVICES, INC.
April 25, 1985 - December 26, 1985
CITIZENS FINANCIAL SECURITIES CORPORATION
October 17, 1984 - April 23, 1985
MORGAN KEEGAN & COMPANY, LLC
July 18, 1983 - October 29, 1984
KIDDER, PEABODY & CO. INCORPORATED
December 21, 1982 - July 5, 1983
HANAUER, STERN & COMPANY,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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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