Reed T. 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.
Reed Theodore Johnson was a registered financial professional .
Reed is a previously registered financial professional and started their career in finance in 1988. Reed had worked at 18 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2025 - July 7, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
April 28, 2025 - July 7, 2025
NEXT FINANCIAL GROUP, INC.
April 28, 2025 - July 7, 2025
CADARET, GRANT & CO., INC.
January 2, 2024 - July 7, 2025
SORRENTO PACIFIC FINANCIAL, LLC
December 22, 2023 - July 7, 2025
SORRENTO PACIFIC FINANCIAL, LLC
February 25, 2004 - July 7, 2025
CUSO FINANCIAL SERVICES, L.P.
February 25, 2004 - July 7, 2025
CUSO FINANCIAL SERVICES, L.P.
October 6, 2003 - March 9, 2004
SENTRA SECURITIES CORPORATION
January 30, 2002 - March 9, 2004
SUNAMERICA SECURITIES, INC.
June 9, 1998 - March 10, 2004
SPELMAN & CO., INC.
September 26, 1997 - March 9, 2004
SENTRA SECURITIES CORPORATION
April 21, 1997 - September 19, 1997
INTERFIRST CAPITAL CORPORATION
September 14, 1995 - December 22, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
April 16, 1993 - August 17, 1993
MONACO SECURITIES, INC.
November 20, 1992 - May 5, 1993
LP CHARLES & COMPANY, INC.
October 5, 1992 - November 20, 1992
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
September 11, 1990 - September 2, 1992
DEL MAR SECURITIES, INC.
October 19, 1989 - August 27, 1990
THE STUART-JAMES COMPANY, INCORPORATED
September 7, 1988 - August 5, 1989
EDWARD JONES
May 25, 1988 - August 24, 1988
IDS LIFE INSURANCE COMPANY
May 25, 1988 - August 24, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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 52TO
Date: 12/22/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
