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TJ

Teresa M. Johnson

HAND SECURITIES,
Houston, TX 77024
Some features on this profile are disabled
CRD#: 1998270
TJ

Professional summary

Teresa Marie Johnson, who also goes by Teresa Marie Antoszyk, Tess Johnson, is a registered financial professional currently at HAND SECURITIES, INC located in Houston, Texas.

Teresa is registered as a RR (Registered Representative) and started their career in finance in 1989. Teresa has worked at 7 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7, Series 6, Series 3 and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Teresa Marie Antoszyk | Tess Johnson

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.
ALBION CONSULTING, LLC - PRESIDENT AND INDEPENDENT CONTRACTOR OFFERING SALES, MARKETING AND TRAINING ADVICE ON AN AD HOC BASIS. NOT INVESTMENT RELATED. HOURS DEVOTED TO THE BUSINESS IS APPROXIMATELY 5 TO 10 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Teresa Marie Johnson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 5, 2022 - Present

HAND SECURITIES, INC

Office #1: 820 Gessner Ste 1250, Houston, TX 77024
BD
CRD#: 45198
Houston, TX
Past

February 12, 2018 - March 31, 2022

CARAPACE FINANCIAL ADVISORS LLC

RIA
CRD#: 291404
BEDMINSTER, NJ
Past

January 2, 2018 - August 25, 2021

FINANCIAL NORTHEASTERN SECURITIES, INC.

BD
CRD#: 17007
FAIRFIELD, NJ
Past

December 14, 2013 - September 27, 2016

LEE FINANCIAL SECURITIES, INC.

BD
CRD#: 23134
HONOLULU, HI
Past

October 15, 2013 - September 27, 2016

LEE FINANCIAL GROUP HAWAII, INC.

RIA
CRD#: 104781
HONOLULU, HI
Past

July 19, 2007 - August 26, 2008

LEE FINANCIAL SECURITIES, INC.

BD
CRD#: 23134
HONOLULU, HI
Past

October 31, 2002 - July 29, 2005

FEDERATED INVESTMENT COUNSELING

RIA
CRD#: 105325
PITTSBURGH, PA
Past

November 1, 1989 - July 29, 2005

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(11/5/2022)
RR
Texas
(11/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/3/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/21/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/30/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/14/2013
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 1/16/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 22
Date: 12/16/1999
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HAND SECURITIES, INC
AMERICAN INDUSTRIES RETIREMENT SECURITIES CORPORATION | RETIREMENT SECURITIES, INC. | HAND SECURITIES, INC

CRD#: 45198 / SEC#: , 8-51001

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
820 Gessner Ste 1250, Houston, TX 77024
Mailing Address
820 Gessner Ste 1250, Houston, TX 77024
Phone number
(713) 460-1000
Established
Texas since 02/02/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HAND BENEFITS AND TRUST COOWNER
HAND, STEPHEN SAWYERCHIEF COMPLIANCE OFFICER1950983
HAND, STEPHEN SAWYERPRESIDENT1950983
HAND, STEPHEN SAWYERFINOP1950983
ZIMMERMAN, GREGG KEITHLEYVICE PRESIDENT4840878

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

HAND SECURITIES, INC

CRD#: 45198Houston, TX 77024

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