Florence C. 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.
Florence Christine Johnson, who also goes by Florence Johnson, Tina Johnson, was a registered financial professional .
Florence is a previously registered financial professional and started their career in finance in 1985. Florence had worked at 9 firms and has passed the Series 65, Series 63, 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
March 26, 2012 - February 28, 2014
LEIGH BALDWIN & CO., LLC
March 7, 2011 - March 22, 2012
OMNIVEST, INC.
June 23, 2008 - February 18, 2011
NTB FINANCIAL CORPORATION
June 18, 2008 - February 18, 2011
NTB FINANCIAL CORPORATION
June 2, 2000 - June 17, 2008
LPL FINANCIAL LLC
May 10, 2000 - June 17, 2008
LPL FINANCIAL LLC
September 11, 1996 - May 21, 2001
UBS FINANCIAL SERVICES INC.
July 31, 1993 - September 6, 1996
CITIGROUP GLOBAL MARKETS INC.
June 20, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
July 21, 1988 - September 13, 1989
CIBC WORLD MARKETS CORP.
October 23, 1985 - July 11, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
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
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 756 |
| AUM (Assets Under Management) | $ 285,522,208 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 1 |
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.
