Joel B. 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.
Joel Brian Johnson was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1985. Joel had worked at 10 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
May 2, 2014 - December 31, 2023
THE LEADERS GROUP, INC.
March 17, 2008 - May 20, 2014
VOYA FINANCIAL ADVISORS, INC.
March 30, 2005 - March 18, 2008
SECURITIES AMERICA, INC.
June 14, 2004 - December 31, 2004
EIDE BAILLY ADVISORS, LLC
January 24, 2002 - December 31, 2004
CAP PRO BROKERAGE SERVICES, INC.
February 3, 2000 - November 29, 2001
CETERA INVESTMENT SERVICES LLC
December 18, 1997 - February 6, 2000
PRINCIPAL SECURITIES, INC.
May 16, 1995 - December 18, 1997
MML INVESTORS SERVICES, LLC
October 15, 1993 - May 23, 1995
CUNA BROKERAGE SERVICES, INC.
April 26, 1985 - October 15, 1993
CENTURY INVESTORS OF AMERICA, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
