Harold H. 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.
Harold Hove Johnson, who also goes by Hal Johnson, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1991. Harold had worked at 8 firms and has passed the Series 63, 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
July 27, 2017 - July 13, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 24, 2017 - July 13, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 9, 2016 - July 27, 2017
SUMMIT FINANCIAL GROUP INC
September 1, 2016 - July 27, 2017
SUMMIT BROKERAGE SERVICES, INC.
February 7, 2003 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
November 5, 1999 - February 7, 2003
THE MASTERS, INC.
November 1, 1999 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
August 22, 1994 - September 7, 1999
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 4, 1991 - August 26, 1994
KINGLAND CAPITAL CORPORATION
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
