Mark E. 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.
Mark Edward Johnson was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2015 - March 7, 2018
CNL SECURITIES CORP.
July 13, 2012 - March 11, 2014
GRIFFIN CAPITAL SECURITIES, LLC
June 1, 2009 - May 2, 2012
MACQUARIE CAPITAL (USA) INC.
March 19, 2007 - January 20, 2009
RIDGEWOOD SECURITIES CORPORATION
February 23, 2005 - December 8, 2005
A. G. EDWARDS & SONS, INC.
February 17, 2005 - December 8, 2005
A. G. EDWARDS & SONS, INC.
April 29, 2003 - December 1, 2004
CNL SECURITIES CORP.
November 28, 1994 - February 20, 2002
SIFE
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
CNL SECURITIES CORP.
CRD#: 10356 / SEC#: , 8-26901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CNL FINANCIAL GROUP, INC. | PARENT COMPANY OF CNL SECURITIES CORP. | |
| BOYCE, KATHLEEN ANNE | CHIEF COMPLIANCE OFFICER | 3086688 |
| HELMS, BRACKSTON EDWARD | CO-PRESIDENT | 2730942 |
| MUJA, GZIM | CO-PRESIDENT | 2916434 |
| MUJA, GZIM | NATIONAL SALES DIRECTOR | 2916434 |
| TURNER, TRACY JEANNE | CHIEF FINANCIAL OFFICER, FINOP & TREASURER | 6122300 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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