Kenneth 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.
Kenneth Dunn Johnson, who also goes by Ken Dunn Johnson, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1991. Kenneth had worked at 6 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
April 1, 2008 - January 16, 2013
CAPITAL BROKERAGE CORPORATION
May 31, 2005 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
March 9, 1999 - October 19, 2004
ATLAS SECURITIES, LLC
November 10, 1997 - October 16, 1998
GT GLOBAL, INC.
July 8, 1995 - November 1, 1996
WELLS FARGO SECURITIES INC.
February 19, 1991 - October 15, 1993
T. ROWE PRICE INVESTMENT SERVICES, 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
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
