Francis M. Johnson
Professional summary
Francis Melvin Johnson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Francis is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Francis had worked at 10 firms, which includes NEWPORT COAST SECURITIES INC., JOHNSON RETIREMENT PLANNING INC., GOLDEN BENEFICIAL SECURITIES CORPORATION, CENTAURUS FINANCIAL INC., INTERFIRST CAPITAL CORPORATION, SAN CLEMENTE SECURITIES INC., VOYA FINANCIAL ADVISORS INC., LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION, OPTIMA SECURITIES LTD., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2009 - October 8, 2010
NEWPORT COAST SECURITIES, INC.
May 9, 2008 - March 16, 2011
JOHNSON RETIREMENT PLANNING, INC.
April 29, 2008 - July 7, 2008
GOLDEN BENEFICIAL SECURITIES CORPORATION
April 11, 2008 - February 13, 2009
GOLDEN BENEFICIAL SECURITIES CORPORATION
September 23, 2002 - April 18, 2008
CENTAURUS FINANCIAL, INC.
April 5, 2001 - April 18, 2008
CENTAURUS FINANCIAL, INC.
April 10, 2000 - June 27, 2000
INTERFIRST CAPITAL CORPORATION
October 8, 1999 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
August 13, 1996 - September 28, 1999
VOYA FINANCIAL ADVISORS, INC.
June 11, 1996 - August 15, 1996
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
March 6, 1989 - December 20, 1989
OPTIMA SECURITIES, LTD.
January 20, 1987 - September 1, 1988
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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