David B. 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.
David Bruce Johnson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 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
April 2, 2010 - May 5, 2020
ICA, LLC
May 22, 2007 - April 15, 2008
USF SECURITIES, L.P.
April 23, 2007 - April 15, 2008
USF ADVISORS, LLC
October 27, 2004 - April 25, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 26, 2004 - April 25, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 23, 2004 - December 31, 2004
POWELLJOHNSON
June 18, 2003 - January 13, 2004
POWELLJOHNSON
March 12, 2003 - June 17, 2003
POWELLJOHNSON
December 20, 2002 - January 11, 2005
POWELLJOHNSON
August 14, 2000 - October 2, 2000
UBS FINANCIAL SERVICES INC.
September 18, 1990 - August 14, 2000
J.C. BRADFORD & CO.
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
ICA, LLC
CRD#: 145235 / SEC#: , 8-67717
Contact information
FINRA licenses (7 States and Territories)
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.
