Anna M. 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.
Anna Maria Johnson, who also goes by Anna Maria Araza, Anna Araza, Anna Maria Gullickson, Anna Gullickson, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 1985. Anna had worked at 14 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
October 10, 2017 - December 31, 2019
SECURITIES AMERICA, INC.
January 28, 2009 - October 11, 2017
LPL FINANCIAL LLC
December 12, 2003 - December 5, 2008
EDWARD JONES
July 1, 2003 - December 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 10, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1998 - November 1, 2000
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 3, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 1, 1993 - January 6, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
March 6, 1991 - August 31, 1993
CITICORP INVESTMENT SERVICES
July 26, 1988 - August 1, 1990
GAF FINANCIAL AND INSURANCE SERVICES
July 16, 1987 - August 7, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
May 23, 1985 - November 13, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 23, 1985 - November 20, 1986
AMERIPRISE FINANCIAL SERVICES, 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
