Kendall A. 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.
Kendall Angus Johnson was a registered financial professional .
Kendall is a previously registered financial professional and started their career in finance in 1990. Kendall had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 52, Series 6, Series 4 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
October 5, 2015 - November 2, 2018
FIRST LIBERTIES FINANCIAL
February 15, 2013 - July 31, 2013
PPG WEST LLC
January 25, 2012 - July 31, 2013
PHOENIX DERIVATIVES GROUP, LLC
November 26, 2009 - May 9, 2011
TFS DERIVATIVES LLC
February 25, 1994 - November 22, 1994
CHAPDELAINE TULLETT PREBON, LLC
March 9, 1990 - February 22, 1991
LEGEND CAPITAL CORPORATION
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
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
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.
