Gary J. 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.
Gary Joe Johnson was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 12 firms and has passed the Series 63, 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
April 23, 2012 - April 30, 2015
KESTRA INVESTMENT SERVICES, LLC
April 23, 2012 - April 30, 2015
KESTRA INVESTMENT SERVICES, LLC
April 1, 2010 - April 19, 2012
FINANCIAL TELESIS INC
April 1, 2010 - April 19, 2012
FINANCIAL TELESIS INC
December 11, 2006 - April 7, 2010
OSAIC FS, INC.
January 15, 2004 - April 7, 2010
OSAIC FS, INC.
December 6, 2002 - January 7, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 6, 2002 - January 7, 2004
OSAIC FA, INC.
February 1, 2000 - December 13, 2002
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 1, 1994 - March 2, 2000
OSAIC WEALTH, INC.
August 27, 1991 - September 14, 1994
CUNA BROKERAGE SERVICES, INC.
November 15, 1990 - October 25, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 11, 1987 - October 15, 1990
NEW ENGLAND SECURITIES
September 22, 1986 - November 11, 1987
KEOGLER, MORGAN & COMPANY, INC.
July 26, 1984 - September 29, 1986
FSC SECURITIES CORPORATION
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
