Loyd J. 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.
Loyd Junior Johnson, who also goes by Loyd J Johnson, Loyd Johnson, was a registered financial professional .
Loyd is a previously registered financial professional and started their career in finance in 1999. Loyd had worked at 10 firms and has passed the Series 63, Series 65, Series 3, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2011 - December 4, 2012
CAPITOL SECURITIES MANAGEMENT, INC.
March 3, 2011 - December 4, 2012
CAPITOL SECURITIES MANAGEMENT, INC.
February 11, 2009 - March 17, 2011
OPPENHEIMER & CO. INC.
February 11, 2009 - March 17, 2011
OPPENHEIMER & CO. INC.
April 2, 2008 - February 20, 2009
OAKMONT CAPITAL MANAGEMENT, LLC
April 3, 2006 - April 10, 2006
OAKMONT CAPITAL MANAGEMENT, LLC
April 4, 2005 - April 3, 2008
ANDERSON & STRUDWICK, INCORPORATED
June 21, 2004 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
June 18, 2004 - February 9, 2009
ANDERSON & STRUDWICK, INCORPORATED
June 11, 2002 - June 30, 2004
RBC CAPITAL MARKETS, LLC
March 25, 2002 - June 30, 2004
RBC CAPITAL MARKETS, LLC
January 23, 2002 - March 21, 2002
TUCKER ANTHONY INCORPORATED
December 12, 2000 - January 30, 2002
CITIGROUP GLOBAL MARKETS INC.
October 12, 2000 - September 5, 2001
CARLIN EQUITIES, LLC
September 7, 1999 - June 28, 2000
YP, LLC
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
Series 2
Date: 7/7/1992
Non-Member General Securities ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| 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.
