Michael H. Johnson
Professional summary
Michael Haynes Johnson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Michael had worked at 10 firms, which includes SCOTTRADE INC., PENSON FINANCIAL SERVICES INC., ABN AMRO SECURITIES LLC, UBS FINANCIAL SERVICES INC., NATWEST SECURITIES CORPORATION, LEHMAN BROTHERS INC., NATIONAL FINANCIAL SERVICES LLC, WESTMINSTER RESEARCH ASSOCIATES LLC, GINTELCO INC., MIDAS SECURITIES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2012 - September 30, 2013
SCOTTRADE, INC.
June 23, 2008 - June 12, 2012
PENSON FINANCIAL SERVICES, INC.
March 16, 1999 - April 26, 2001
ABN AMRO SECURITIES LLC
March 16, 1998 - March 5, 1999
UBS FINANCIAL SERVICES INC.
April 4, 1997 - April 9, 1998
NATWEST SECURITIES CORPORATION
April 15, 1992 - April 9, 1997
LEHMAN BROTHERS INC.
June 5, 1989 - April 2, 1992
NATIONAL FINANCIAL SERVICES LLC
May 6, 1988 - April 17, 1989
WESTMINSTER RESEARCH ASSOCIATES LLC
June 29, 1987 - April 5, 1988
GINTELCO, INC.
April 29, 1987 - June 2, 1987
MIDAS SECURITIES GROUP, 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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
Red Flags
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