Andre 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.
Andre Duvol Johnson was a registered financial professional .
Andre is a previously registered financial professional and started their career in finance in 1989. Andre had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 1993 - August 17, 1993
JOSEPH ROBERTS & CO., INC.
April 15, 1993 - May 21, 1993
JOSEPH ROBERTS & CO., INC.
October 1, 1992 - March 23, 1993
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
July 28, 1992 - September 1, 1992
CHATFIELD DEAN & CO., INC.
April 24, 1992 - July 14, 1992
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
October 21, 1991 - January 3, 1992
CHATFIELD DEAN & CO., INC.
January 14, 1991 - October 29, 1991
H.J. MEYERS & CO., INC.
January 22, 1990 - November 26, 1990
MORGAN STANLEY DW INC.
January 16, 1989 - June 7, 1989
J. W. GANT & ASSOCIATES, 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
JOSEPH ROBERTS & CO., INC.
CRD#: 15971 / SEC#: , 8-33022
Contact information
Documents
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.
