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KJ

Kristy Kate Johnson-minka

CRD# 2343970·Registered 1998 - 2012
Previously Registered: Being a previously registered professional could mean that Kristy 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.

Professional Summary

Kristy Kate Johnson-minka, who also goes by Kristy Kate Minka-johnson, was a registered financial advisor. Kristy was a previously registered financial professional and started their career in finance 1998 - 2012. Kristy had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kristy Kate Minka-Johnson

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

INTER SECURITIES LTD.·CRD# 40733
BD
San Francisco, CA
April 17, 2007 - March 22, 2012
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
Berkeley, CA
July 17, 2006 - April 17, 2007
INVESTORS RESOURCES GROUP, INC.·CRD# 45752
BD
Vacaville, CA
September 16, 2002 - July 17, 2006
ROUND HILL SECURITIES, INC.·CRD# 35223
BD
Alamo, CA
December 3, 1998 - September 20, 2002

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Current Firm

IS
INTER SECURITIES LTD.

INTER SECURITIES LTD.

CRD#: 40733 / SEC#: 8-49177
BD
Terminated by SEC on 03/03/2015

Contact Information

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
VON PETERFFY-ROLFF, FERDINANDEXECUTIVE DIRECTOR4090547
BELHUMEUR, WILLIAM DANIELPRINCIPAL, CCO, GSP4544803
HAMLYN, STUART FRANCIS JRFINOP2383549

Disclosures

Regulatory Event

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1998About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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KJ
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