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VJ

Verne E. Johnson

Some features on this profile are disabled
CRD#: 2458750
VJ

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.

Verne Edward Johnson was a registered financial professional .

Verne is a previously registered financial professional and started their career in finance in 1994. Verne had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 22, 1999 - July 11, 2000

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

April 29, 1996 - December 4, 1997

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

May 6, 1994 - September 29, 1994

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

May 6, 1994 - September 29, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/13/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/1994
General Securities Representative Examination

Current Firm

PR
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
PUTNAM FINANCIAL SERVICES, INC. | PUTNAM/EBERSTADT FINANCIAL SERVICES, INC. | PUTNAM RETAIL MANAGEMENT, INC. | PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP | PUTNAM RETAIL MANAGEMENT | PUTNAM MUTUAL FUNDS CORP. | PUTNAM FUND DISTRIBUTORS, INC.

CRD#: 7325 / SEC#: , 8-1369

BD
Terminated by SEC on 10/29/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 03/26/2001
Firm type
Partnership
Fiscal year end
November
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PUTNAM U.S. HOLDINGS I, LLCOWNER/LP
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
MASOM, JEFFREY SCOTTPRESIDENT2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546
PUTNAM RETAIL MANAGEMENT GP, INCOWNER/GP

Disclosures

Regulatory Event2
Arbitration3

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.

Company Information

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

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