Daniel 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.
Daniel Brent Johnson was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1991. Daniel had worked at 5 firms and has passed the Series 65, 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
May 28, 2010 - June 15, 2010
FELTL & COMPANY
April 17, 2008 - June 16, 2008
COLLIERS SECURITIES LLC
March 22, 2005 - November 22, 2006
RBC CAPITAL MARKETS, LLC
March 2, 1998 - November 22, 2006
RBC CAPITAL MARKETS, LLC
November 24, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
July 25, 1991 - November 25, 1997
MORGAN STANLEY DW 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
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 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.
