Lori D. 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.
Lori Dianne Johnson, who also goes by Lori Johnson Laxo, Lori Laxo, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1988. Lori had worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2003 - January 8, 2014
ARTISAN PARTNERS DISTRIBUTORS LLC
September 23, 1999 - March 13, 2002
MAM SECURITIES, LLC
October 17, 1998 - August 23, 1999
BOFA DISTRIBUTORS, INC.
October 6, 1995 - October 17, 1998
CRABBE HUSON SECURITIES, INC.
April 17, 1990 - December 18, 1992
CRABBE HUSON SECURITIES, INC.
November 17, 1988 - March 4, 1989
WELLS FARGO INVESTMENTS, LLC
May 25, 1988 - October 19, 1988
CITIGROUP GLOBAL MARKETS 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
Current Firm
ARTISAN PARTNERS DISTRIBUTORS LLC
CRD#: 45446 / SEC#: , 8-51043
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTISAN PARTNERS HOLDINGS LP | SOLE MEMBER OF LLC | |
| DEMSKI, JILL MARIE | CHIEF COMPLIANCE OFFICER | 4313464 |
| HAMMAN, JAMES STEPHEN JR | VICE PRESIDENT & SECRETARY | 2767492 |
| KREIN, CHRISTOPHER JON | VICE PRESIDENT | 4534130 |
| RAMIREZ, GREGORY KENNETH | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3094595 |
| VON HOFF, RYAN GEORGE | VICE PRESIDENT, TREASURER AND CHIEF FINANCIAL OFFICER | 7169306 |
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.
