Michael Johnson

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CRD#: 1701671

Professional summary

Michael Johnson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Michael had worked at 9 firms, which includes TRAYNOR CAPITAL MANAGEMENT, HIGHTOWER ADVISORS LLC, HIGHTOWER SECURITIES LLC, WELLS FARGO CLEARING SERVICES LLC, ALPS DISTRIBUTORS INC., CITIGROUP GLOBAL MARKETS INC., UBS FINANCIAL SERVICES INC., UBS ASSET MANAGEMENT (US) INC., SEI INVESTMENTS DISTRIBUTION CO..

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Johnson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 22, 2016 - September 28, 2016

TRAYNOR CAPITAL MANAGEMENT

RIA

CRD#: 138881

MALVERN, PA

Past

May 9, 2014 - September 15, 2016

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

WAYNE, PA

Past

May 9, 2014 - September 15, 2016

HIGHTOWER SECURITIES, LLC

CRD#: 116681

WAYNE, PA

Past

February 5, 2010 - May 13, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LANCASTER, PA

Past

February 5, 2010 - May 13, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LANCASTER, PA

Past

June 5, 2008 - November 17, 2008

ALPS DISTRIBUTORS, INC.

CRD#: 16853

RYE BROOK, NY

Past

September 1, 2006 - May 15, 2008

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK, NY

Past

March 13, 1996 - July 5, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 26, 1995 - January 11, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 31, 1995 - April 7, 1995

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

August 20, 1987 - August 7, 1992

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRAYNOR CAPITAL MANAGEMENT

TRAYNON CAPITAL MANAGEMENT | TRAYNOR, KEITH THOMAS | TRAYNOR CAPITAL MANAGEMENT, INC. | TRAYNOR CAPITAL MANAGEMENT

CRD#: 138881 / SEC#: 801-78760

RIA

Registered Investment Advisory firm - (11/5/2013 Approved)

Georgia

Registered Investment Advisory firm - (11/7/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (11/21/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (11/7/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/12/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/7/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/4/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/3/1995

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/23/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/1/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/30/1995

General Securities Representative Examination

Current Firm

TRAYNOR CAPITAL MANAGEMENT

TRAYNON CAPITAL MANAGEMENT | TRAYNOR, KEITH THOMAS | TRAYNOR CAPITAL MANAGEMENT, INC. | TRAYNOR CAPITAL MANAGEMENT

CRD#: 138881 / SEC#: 801-78760

RIA

Registered Investment Advisory firm - (11/5/2013 Approved)

Georgia

Registered Investment Advisory firm - (11/7/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (11/21/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (11/7/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/12/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/7/2013 Terminated)

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Contact information

Main Address

418 E King St, Malvern, PA 19355

Mailing Address

Phone number

(610) 993-9050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRAYNOR CAPITAL MANAGEMENT ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,425
AUM (Assets Under Management)	$ 1,845,679,326

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.

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Firm Stability Insights

Michael Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

TRAYNOR CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/4/2010

Series 63

Date: 2/3/1995

Series 65

Date: 5/23/1994

SIE

Date: 9/15/2016

Series 31

Date: 6/1/2012

Series 7

Date: 1/30/1995

Current Firm

TRAYNOR CAPITAL MANAGEMENT

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRAYNOR CAPITAL MANAGEMENT

TRUST BUT VERIFY

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