David E. 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 Eddie Johnson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 8 firms and has passed the Series 63, Series 55, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2013 - March 20, 2013
XFA SECURITIES, LLC
July 12, 2011 - March 13, 2013
X-CHANGE FINANCIAL ACCESS, LLC
April 10, 2008 - November 19, 2010
RBC CAPITAL MARKETS, LLC
January 14, 2008 - April 10, 2008
OPPENHEIMER & CO. INC.
July 17, 1998 - January 14, 2008
CIBC WORLD MARKETS CORP.
February 19, 1998 - April 20, 1998
FIDELITY BROKERAGE SERVICES LLC
August 6, 1994 - December 22, 1997
CITIGROUP GLOBAL MARKETS INC.
December 10, 1991 - June 21, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 11/15/2005
Limited Representative-Equity Trader ExamCurrent Firm
XFA SECURITIES, LLC
CRD#: 147909 / SEC#: , 8-67939
Contact information
Documents
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.
