Kevin P. 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.
Kevin Patrick Johnson was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1991. Kevin had worked at 5 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
January 12, 1998 - February 11, 1998
M.L. STERN & CO., LLC.
September 11, 1996 - November 1, 1996
ATLAS SECURITIES, LLC
March 16, 1994 - July 20, 1995
SECURITIES SERVICE NETWORK, LLC
June 8, 1992 - February 7, 1994
A. G. EDWARDS & SONS, INC.
September 9, 1991 - April 22, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
M.L. STERN & CO., LLC.
CRD#: 8327 / SEC#: , 8-25028
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
