James P. 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.
James Perry Johnson JR, who also goes by J Perry Johnson, James Perry Johnson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 6 firms and has passed the Series 63, SIE, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2017 - April 18, 2018
FIRSTRUST
July 10, 2014 - June 30, 2015
EMERGENT FINANCIAL GROUP, INC.
September 11, 2009 - July 6, 2012
BME INVESTMENT PARTNERS, LLC
March 6, 2009 - June 9, 2009
BME INVESTMENT PARTNERS, LLC
February 9, 1994 - July 16, 1996
FPS BROKER SERVICES, INC.
December 3, 1987 - August 10, 1992
IST INSTITUTIONAL SECURITIES TRADING
December 23, 1985 - October 15, 1987
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
FIRSTRUST
CRD#: 111800 / SEC#: 801-56812
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
FIRSTRUST
CRD#: 111800 / SEC#: 801-56812
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 128 |
| AUM (Assets Under Management) | $ 202,700,000 |
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.
