David 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.
David Curtis Johnson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2020 - December 31, 2020
TLG ADVISORS, INC.
January 7, 2020 - December 31, 2020
THE LEADERS GROUP, INC.
March 8, 2016 - December 31, 2019
TLG ADVISORS, INC.
March 3, 2016 - December 31, 2019
THE LEADERS GROUP, INC.
July 8, 2014 - October 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2014 - October 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 1, 2012 - June 19, 2014
KESTRA INVESTMENT SERVICES, LLC
March 1, 2012 - June 19, 2014
KESTRA INVESTMENT SERVICES, LLC
June 1, 2009 - December 21, 2011
MORGAN STANLEY
June 1, 2009 - December 21, 2011
MORGAN STANLEY
March 24, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 19, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 25, 1998 - August 26, 1998
OMNIVEST, INC.
January 21, 1988 - January 16, 1998
SECURIAN FINANCIAL SERVICES, INC.
July 9, 1987 - November 27, 1987
DATAPLAN SECURITIES, INC.
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
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
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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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