Lance G. 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.
Lance Gavin Johnson, who also goes by Lance Johnson, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1987. Lance had worked at 15 firms and has passed the Series 63, Series 52, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2012 - May 23, 2013
CROSS POINT CAPITAL LLC
December 23, 2011 - September 18, 2012
CARTY, HARDING & HEARN, INC.
July 30, 2004 - November 16, 2009
HILLTOP SECURITIES INC.
April 2, 2001 - July 30, 2004
ESTRADA HINOJOSA & COMPANY, INC.
August 4, 2000 - February 7, 2001
MORGAN STANLEY DW INC.
July 31, 1999 - April 17, 2000
NELSONREID, INC.
October 28, 1998 - April 28, 1999
BANC OF AMERICA SECURITIES LLC
April 15, 1996 - February 20, 1998
CHARLES SCHWAB & CO., INC.
April 27, 1993 - March 21, 1996
WR LAZARD, LAIDLAW INCORPORATED
July 17, 1992 - April 6, 1993
UNITED DANIELS SECURITIES, INC.
August 20, 1991 - February 10, 1992
WESTCAP SECURITIES, L.P.
August 20, 1991 - February 10, 1992
WESTCAP GOVERNMENT SECURITIES, INC.
March 16, 1990 - May 22, 1991
M.G.S.I. SECURITIES, INC.
April 5, 1989 - March 21, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1988 - March 22, 1989
MORGAN STANLEY DW INC.
September 23, 1987 - July 26, 1988
MURCHISON INVESTMENT BANKERS, INC.
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
Series 2
Date: 9/8/1987
Non-Member General Securities ExaminationCurrent Firm
CROSS POINT CAPITAL LLC
CRD#: 136223 / SEC#: , 8-66989
Contact information
FINRA licenses (17 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
