Brent L. 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.
Brent Lyle Johnson was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1999. Brent had worked at 4 firms and has passed the Series 66, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2017 - December 31, 2025
SANTIAGO CAPITAL, LLC
April 3, 2012 - December 31, 2016
SANTIAGO CAPITAL, LLC
January 28, 2010 - July 5, 2019
BAKERAVENUE
January 17, 2003 - February 18, 2010
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - February 18, 2010
CREDIT SUISSE SECURITIES (USA) LLC
May 3, 2000 - January 17, 2003
PERSHING LLC
October 25, 1999 - January 17, 2003
PERSHING LLC
Primary Firm SEC Registration
SANTIAGO CAPITAL, LLC
CRD#: 154579 / SEC#: 801-117620
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
Current Firm
SANTIAGO CAPITAL, LLC
CRD#: 154579 / SEC#: 801-117620
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 181,830,065 |
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.
