David W. 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.
David Webster Johnson, who also goes by David W Johnson, David Johnson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2017 - October 15, 2019
BRADLEY WOODS & CO. LTD.
August 1, 2017 - September 28, 2017
PAS CAPITAL, LLC
April 11, 2016 - February 17, 2017
CAIN BROTHERS & COMPANY, LLC
November 29, 2010 - June 18, 2014
BMO CAPITAL MARKETS GKST INC.
March 25, 2009 - September 27, 2010
B. C. ZIEGLER AND COMPANY
October 25, 2002 - March 11, 2009
CITIGROUP GLOBAL MARKETS INC.
October 19, 1994 - August 21, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 1992 - August 9, 1994
LEHMAN BROTHERS INC.
November 13, 1987 - November 19, 1991
J.P. MORGAN SECURITIES LLC
April 23, 1987 - September 23, 1987
J.P. MORGAN SECURITIES INC.
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
BRADLEY WOODS & CO. LTD.
CRD#: 13660 / SEC#: , 8-28862
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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