Neil 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.
Neil Thomas Johnson, who also goes by Neil T Johnson, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1990. Neil had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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
November 10, 2017 - February 4, 2019
FUNDS DISTRIBUTOR, LLC
March 17, 2010 - October 13, 2016
BOSTON PARTNERS SECURITIES, L.L.C.
September 30, 2008 - February 25, 2009
CREDIT SUISSE SECURITIES (USA) LLC
December 14, 2005 - October 3, 2008
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
April 24, 2000 - November 28, 2005
PINEBRIDGE SECURITIES LLC
July 14, 1994 - April 17, 2000
NEUBERGER BERMAN BD LLC
May 31, 1990 - June 1, 1994
HAMILTON, JOHNSTON & CO., 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
FUNDS DISTRIBUTOR, LLC
CRD#: 7174 / SEC#: , 8-20518
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Disclosures
| Regulatory Event | 2 |
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.
