Lawrence 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.
Lawrence Ward Johnson, who also goes by Larry Johnson, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1987. Lawrence had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 1990 - March 27, 1991
BRENNAN ROSS SECURITIES, INC.
October 12, 1989 - January 18, 1990
KOCHCAPITAL
April 3, 1989 - September 20, 1989
NATIONAL SECURITIES CORPORATION
January 11, 1989 - April 13, 1989
INTERCONTINENTAL BROKERAGE CORPORATION
February 26, 1987 - February 23, 1989
CIMMARON SECURITIES CORPORATION
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
BRENNAN ROSS SECURITIES, INC.
CRD#: 18363 / SEC#: , 8-36546
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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