Eric F. Johnson
Professional summary
Eric Francis Johnson is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1994. Eric has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Francis Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2016 - Present
NUVEEN SECURITIES, LLC
Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262June 6, 2012 - March 21, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
March 15, 2010 - October 26, 2010
MORGAN WILSHIRE SECURITIES, INC.
July 2, 2001 - December 31, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
March 31, 1999 - June 30, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 9, 1998 - September 9, 1998
WADDELL & REED
May 7, 1997 - September 4, 1997
WALSH MANNING SECURITIES, LLC
November 1, 1996 - December 4, 1996
MAIDSTONE FINANCIAL, INC.
September 8, 1995 - February 15, 1996
MAIDSTONE FINANCIAL, INC.
March 14, 1994 - October 28, 1994
FIRST ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
(3/21/2016)
Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 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.
