Stephen C. 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.
Stephen C Johnson was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 3 firms and has passed the Series 66, 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
August 24, 2011 - December 31, 2017
BROAD STREET CAPITAL MANAGEMENT
January 16, 2008 - August 25, 2011
FOSTER-ROGERS WEALTH MANAGEMENT GROUP, LLC
June 2, 2006 - December 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2006 - December 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 1987 - November 29, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
BROAD STREET CAPITAL MANAGEMENT
CRD#: 158662 / SEC#:
Contact information
Red Flags
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