Michelle M. 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.
Michelle Marie Johnson, who also goes by Michelle Marie Bozarth, Shelly Bozarth, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1989. Michelle had worked at 9 firms and has passed the Series 65, 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
September 17, 2012 - December 31, 2012
KMS FINANCIAL SERVICES, INC.
October 13, 2011 - December 31, 2012
KMS FINANCIAL SERVICES, INC.
May 2, 2001 - November 20, 2009
WELLS FARGO INVESTMENTS, LLC
October 9, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
June 18, 1993 - October 11, 1995
FIRST WASHINGTON CORPORATION
October 29, 1990 - January 26, 1993
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
March 7, 1990 - October 4, 1990
LEHMAN SPECIAL SECURITIES INC.
March 7, 1990 - October 4, 1990
LEHMAN GOVERNMENT SECURITIES INC.
March 7, 1990 - October 4, 1990
LEHMAN BROTHERS INC.
June 20, 1989 - March 5, 1990
CIBC WORLD MARKETS CORP.
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
