Steven N. 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.
Steven Nelson Johnson was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 9 firms and has passed the Series 63, SIE, Series 31, 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
April 5, 2016 - April 15, 2016
TOR BROKERAGE LLC
September 24, 2010 - April 23, 2014
GE INVESTMENT DISTRIBUTORS, INC
May 21, 2009 - September 13, 2010
ETICO PARTNERS, LLC
November 20, 2007 - May 6, 2009
GRAIL SECURITIES, LLC
June 23, 2005 - September 1, 2006
SCHRODER FUND ADVISORS LLC
October 31, 2003 - February 28, 2005
MARLON DISTRIBUTORS, INC.
April 23, 1996 - August 5, 2002
MARTIN CURRIE INVESTOR SERVICES, INC.
April 24, 1995 - April 24, 1996
AMS SECURITIES, INC.
September 19, 1994 - January 23, 1995
NEUBERGER BERMAN BD LLC
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
TOR BROKERAGE LLC
CRD#: 135274 / SEC#: , 8-66903
Contact information
FINRA licenses (7 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
