Mark 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.
Mark Cyrus Johnson, who also goes by Mark C Johnson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 12 firms and has passed the 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
October 30, 2009 - December 31, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 1, 2009 - December 31, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 31, 2001 - October 30, 2009
AVANTAX ADVISORY SERVICES
December 4, 1996 - October 28, 2009
AVANTAX INVESTMENT SERVICES, INC.
November 29, 1995 - December 3, 1996
MARINER FINANCIAL SERVICES, INC.
August 19, 1993 - December 6, 1995
FFP SECURITIES, INC.
May 2, 1990 - April 29, 1993
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1990 - April 29, 1993
MSI FINANCIAL SERVICES, INC.
October 20, 1989 - April 25, 1990
UR FINANCIAL, INC.
June 1, 1989 - January 9, 1990
DERAND/PENNINGTON/BASS, INC.
October 21, 1987 - May 24, 1988
CAPITAL CONCEPTS SECURITIES, INC.
May 23, 1986 - November 11, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
