David A. Johnson
Professional summary
David A Johnson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, David had worked at 2 firms, which includes INVESTORS CAPITAL CORP., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 1995 - December 31, 2003
INVESTORS CAPITAL CORP.
October 15, 1993 - July 14, 1995
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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