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MJ

Marie Johnson

Some features on this profile are disabled
CRD#: 2510880
MJ

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.

Marie Johnson, who also goes by Johnson Marie Michelle Dugue, Marie Michelle Dugue Johnson, Marie Michelle Dugue-johnson, Marie Michelle Duguejohnson, Marie D Johnson, was a registered financial professional .

Marie is a previously registered financial professional and started their career in finance in 1995. Marie had worked at 9 firms and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Johnson Marie Michelle Dugue | Marie Michelle Dugue Johnson | Marie Michelle Dugue-Johnson | Marie Michelle Duguejohnson | Marie D Johnson

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

August 28, 2013 - October 22, 2013

BEDMINSTER FINANCIAL GROUP, LIMITED

BD
CRD#: 39916
HOLICONG, PA
Past

May 20, 2008 - July 3, 2008

CHATHAM FINANCIAL SECURITIES LLC

BD
CRD#: 118818
STAMFORD, CT
Past

September 29, 2006 - July 10, 2008

NEW HARBOR CAPITAL INC

BD
CRD#: 35748
NEW YORK, NY
Past

June 15, 2004 - October 18, 2004

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

August 23, 1999 - December 31, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 18, 1998 - August 19, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 14, 1998 - December 18, 1998

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

December 4, 1998 - August 18, 1999

NEPTUNE SECURITIES FINANCE CORPORATION

BD
CRD#: 44244
NEW YORK, NY
Past

August 23, 1995 - September 16, 1998

CITICORP SECURITIES SERVICES, INC.

BD
CRD#: 15387
NEW YORK, NY

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

Principal/Supervisory Exam
RR
Series 27
Date: 8/28/2013
Financial and Operations Principal Examination

Current Firm

BF
BEDMINSTER FINANCIAL GROUP, LIMITED
BEDMINSTER FINANCIAL GROUP, LIMITED | PRIME CORE, INC.

CRD#: 39916 / SEC#: , 8-48909

BD
Terminated by SEC on 02/17/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/20/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VANPELT, ROBERT MARTINCHIEF COMPLIANCE OFFICER453274
VANPELT, ROBERT MARTINCHIEF FIANCIAL OFFICER/ CHAIRMAN453274
VANPELT, ROBERT MARTINPRESIDENT CEO453274

Disclosures

Regulatory Event2

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

BEDMINSTER FINANCIAL GROUP, LIMITED

CRD#: 39916

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