Daniel R. 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.
Daniel Royce Johnson was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 3 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2015 - November 14, 2023
AFS SECURITIES, LLC
January 12, 1995 - December 31, 1997
NATHAN & LEWIS SECURITIES, INC.
July 26, 1984 - May 15, 1989
JOHN HANCOCK DISTRIBUTORS LLC
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
AFS SECURITIES, LLC
CRD#: 171819 / SEC#: , 8-69483
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN FINANCIAL SYSTEMS, INC. | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 2996942 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| BUNNELL, ANTHONY | CHIEF EXECUTIVE OFFICER, CHAIRMAN, BOARD OF MANAGERS | 4197371 |
| GIVENS, WILLIAM | CHIEF COMPLIANCE OFFICER | 2790454 |
| JOHNSON, DANIEL ROYCE | PRESIDENT, DESIGNATED RESPONSIBLE PRODUCER | 1225931 |
| MCDONALD, BRIAN THOMAS | BOARD OF MANAGERS | 2281813 |
Red Flags
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