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KJ

Kay A. Johnson

ALLIED MILLENNIAL PARTNERS
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 1583193
KJ

Professional summary

Kay Alison Johnson, who also goes by Kay Alison Bawden, Johnson, is a registered financial professional currently at ALLIED MILLENNIAL PARTNERS, LLC located in New York, New York and ONESOURCE FI LLC located in New York, New York.

Kay is registered as a RR (Registered Representative) and started their career in finance in 1986. Kay has worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 9, Series 10, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kay Alison Bawden | Johnson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kay Alison Johnson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 23, 2021 - Present

ALLIED MILLENNIAL PARTNERS, LLC

Office #1: Three World Financial Center 200 Vesey Street 24th Fl, New York, NY 10281
BD
CRD#: 16569
NEW YORK, NY
Current

August 3, 2021 - Present

ONESOURCE FI LLC

Office #1: Three World Financial Center 200 Vesey Street 24th Floor, New York, NY, 10281
BD
CRD#: 310933
New York, NY
Past

January 11, 2010 - March 13, 2018

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
SEATTLE, WA
Past

August 12, 2002 - April 25, 2019

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
SEATTLE, WA
Past

January 4, 1999 - August 12, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

October 1, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

March 5, 1993 - December 23, 1996

HOWE, SOLOMON & HALL, INC.

BD
CRD#: 13386
MIAMI, FL
Past

October 13, 1988 - December 24, 1991

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

November 18, 1986 - October 10, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(8/31/2022)
RR
New York
(3/28/2021)
RR
Washington
(3/23/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/17/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/11/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/15/1990
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

OF
ONESOURCE FI LLC
ONESOURCE FI LLC | ONESOURCE LLC

CRD#: 310933 / SEC#: , 8-70595

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
200 Vesey Street 24th Floor, New York, NY, 10281
Mailing Address
200 Vesey Street 24th Floor, New York, NY, 10281
Phone number
(646) 532-2583
Established
Delaware since 05/02/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
1059 HOLDINGS LLCDIRECT OWNER/MANAGING MEMBER
ABBRUZZESE, EMILY COPELANDFINOP4606343
JOHNSON, KAY ALISONCCO1583193
PARMIGIANI, JOHN LOUISCEO2800410

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.

Company Information

ONESOURCE FI LLC

CRD#: 310933New York, NY 10281

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