Timothy M. 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.
Timothy M Johnson, who also goes by Tim Johnson, Timothy Mark Johnson, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1992. Timothy had worked at 6 firms and has passed the Series 66, Series 63, SIE 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
April 4, 2012 - December 31, 2015
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
February 25, 2010 - April 5, 2012
FIDUCIARY ASSET MANAGEMENT LLC
May 11, 2009 - January 20, 2016
PIPER SANDLER & CO.
July 11, 2007 - May 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2007 - May 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 1995 - January 24, 1996
LUTHERAN BROTHERHOOD SECURITIES CORP.
June 3, 1994 - December 23, 1994
CITIGROUP GLOBAL MARKETS INC.
April 15, 1992 - March 15, 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
Current Firm
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
CRD#: 145876 / SEC#: 801-68637
Contact information
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.
