Beau L. 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.
Beau Lloyd Johnson was a registered financial advisor .
Beau is a previously registered financial advisor and started their career in finance in 1988. Beau had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2010 - April 16, 2014
SMITH POINT CAPITAL LTD
June 1, 2005 - March 1, 2011
CHINAMERICA HOLDINGS, L.L.C.
January 6, 2005 - December 4, 2006
EXECUTECH FINANCIAL ADVISORS, LLC
May 9, 2003 - May 29, 2008
SMITH POINT CAPITAL LTD
May 21, 2002 - December 31, 2004
EXECUTECH FINANCIAL ADVISORS, LLC
September 21, 2001 - December 11, 2002
WESTPARK CAPITAL, INC.
February 4, 1998 - January 14, 2000
BENNETT ROSS, INC.
March 16, 1995 - August 26, 1998
RETIREMENT INVESTMENT GROUP
March 14, 1994 - December 31, 1994
RETIREMENT INVESTMENT GROUP
August 25, 1993 - September 28, 1993
GIBRALTAR SECURITIES, INC.
April 14, 1992 - June 24, 1992
GIBRALTAR SECURITIES, INC.
May 18, 1990 - June 20, 1990
TITAN/VALUE EQUITIES GROUP, INC.
March 14, 1990 - May 18, 1990
JONATHAN ALAN & CO., INC.
February 8, 1989 - October 25, 1989
L.F. THOMPSON & COMPANY
November 10, 1988 - February 8, 1989
THE STUART-JAMES COMPANY, INCORPORATED
July 1, 1988 - November 7, 1988
VIKING FINANCIAL, 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
SMITH POINT CAPITAL LTD
CRD#: 46042 / SEC#: , 8-51300
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAMPSHIRE GROUP, INC | OWNER | |
| FORREST, LARRY STEPHEN | CEO, CFO, CCO | 1409360 |
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.
