Brad M. 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.
Brad Matthew Johnson, who also goes by Brad Johnson, was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1990. Brad had worked at 9 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
January 14, 2020 - April 17, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
March 22, 2005 - April 8, 2008
TREMONT SECURITIES, INC.
July 10, 2002 - May 27, 2003
CROWN FINANCIAL GROUP, INC.
December 22, 1998 - October 24, 2001
CRT CAPITAL GROUP LLC
October 22, 1996 - August 22, 1997
D.H. TROOB & COMPANY
April 19, 1994 - October 25, 1994
WELLS FARGO SECURITIES INC.
May 7, 1991 - April 10, 1992
GMS GROUP
December 17, 1990 - May 14, 1991
MORGAN STANLEY DW INC.
March 20, 1990 - December 31, 1990
SHUBERT RIZOR SECURITIES, 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
FIRST REPUBLIC SECURITIES COMPANY, LLC
CRD#: 105108 / SEC#: 801-71759, 8-52973
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JP MORGAN CHASE BANK, NATIONAL ASSOCIATION | STOCKHOLDER | |
| BURGE, ANDREW C | DIRECTOR | 5619554 |
| GENTIN, NICOLAS ROBIN | DIRECTOR | 2723366 |
| HERRON, MICHAEL ROBERT | OFFICER | 2692410 |
| HONG, AMY | DIRECTOR | 4259934 |
| LEE, HYUNJOO | FINOP | 7074361 |
| MARTINEZ, MARK CAESAR | REGISTERED OPTIONS PRINCIPAL (ROP) | 2870632 |
| TATEOSIAN, DAVID CHARLES | PRESIDENT AND DIRECTOR | 1605404 |
| THORNTON, ROBERT LEE JR | DIRECTOR | 1412949 |
| WEITGENANT, DAVID ANDREW | CHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL | 2096196 |
Disclosures
| Regulatory Event | 2 |
| 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.
