Jeffrey L. 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.
Jeffrey Lane Johnson, who also goes by Jeff Johnson, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2014 - August 29, 2016
PENTEGRA DISTRIBUTORS INC.
January 5, 2006 - May 19, 2014
THORNBURG INVESTMENT MANAGEMENT INC
January 3, 2006 - May 19, 2014
THORNBURG SECURITIES LLC
May 27, 2005 - December 6, 2005
PRINCIPAL SECURITIES, INC.
April 29, 2005 - December 6, 2005
PRINCIPAL SECURITIES, INC.
May 20, 2003 - January 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2000 - January 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1996 - September 19, 1997
M&I FINANCIAL ADVISORS, 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
PENTEGRA DISTRIBUTORS INC.
CRD#: 26249 / SEC#: , 8-42445
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
