Kevin J. 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.
Kevin Joseph Johnson, who also goes by Kevin J Johnson, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2003. Kevin had worked at 7 firms and has passed the Series 55, Series 7, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2012 - March 19, 2014
CREDIT SUISSE SECURITIES (USA) LLC
October 31, 2011 - May 14, 2012
G-2 TRADING,LLC
December 5, 2008 - February 11, 2011
LABRANCHE STRUCTURED PRODUCTS DIRECT
August 27, 2008 - October 4, 2011
TD ARRANGED SERVICES LLC
November 22, 2004 - April 26, 2007
TD ARRANGED SERVICES LLC
October 12, 2004 - November 15, 2004
SPECTRA DERIVATIVES GROUP LLC
October 21, 2003 - November 22, 2004
KAVAN TRADING, L.L.C.
September 24, 2003 - October 1, 2004
TANSTAAFL RESEARCH & TRADING, L.L.C.
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
Series 55
Date: 1/27/2009
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 336 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
