Kim H. 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.
Kim Harmon Johnson was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1984. Kim had worked at 3 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 1990 - April 22, 1993
NETWORK CAPITAL CORPORATION
November 3, 1989 - July 16, 1991
SAN MARINO SECURITIES, INC.
December 26, 1984 - November 21, 1988
WESTERN CAPITAL & SECURITIES, 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
NETWORK CAPITAL CORPORATION
CRD#: 1389 / SEC#: , 8-11292
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Judgment/Lien | 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.
