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HJ

Harry A. Johnson

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CRD#: 1888722
HJ

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.

Harry Alvin Johnson III was a registered financial professional .

Harry is a previously registered financial professional and started their career in finance in 1988. Harry had worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 6, 2017 - August 24, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA
CRD#: 132070
WAYZATA, MN
Past

October 22, 2016 - March 16, 2021

EASTERLY FUNDS LLC

RIA
CRD#: 281785
Wayzata, MN
Past

October 20, 2016 - March 16, 2021

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

March 3, 2009 - November 12, 2015

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
WAYZATA, MN
Past

December 16, 2008 - November 12, 2015

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
WAYZATA, MN
Past

August 17, 2007 - December 17, 2008

RIVERSOURCE DISTRIBUTORS, INC.

BD
CRD#: 139135
MINNEAPOLIS, MN
Past

November 27, 2006 - May 30, 2007

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

December 14, 2004 - November 1, 2006

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

January 8, 1998 - October 6, 2004

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

September 28, 1995 - September 13, 1996

RELATED EQUITIES CORPORATION

BD
CRD#: 11218
NEW YORK, NY
Past

January 27, 1995 - September 8, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 31, 1991 - January 27, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 31, 1991 - January 27, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

October 28, 1988 - October 24, 1991

FIRST CORPORATE BROKERAGE SERVICES, INC.

BD
CRD#: 7480
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/2/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/14/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/1990
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/17/1989
Financial and Operations Principal Examination

Current Firm

GF
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
FINANCIAL DYNAMICS & ASSOCIATES, INC. | NFB PRIVATE CAPITAL | GLOBAL FINANCIAL PRIVATE CAPITAL, LLC | GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

CRD#: 132070 / SEC#: 801-63282

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Contact information

Main Address
501 North Cattlemen Road Suite 106, Sarasota, FL 34232
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/16/2020)

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.

Company Information

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

CRD#: 132070

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