Clifton G. 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.
Clifton Grady Johnson JR, who also goes by Clifton Grady Johnson, was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 1995. Clifton had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - July 29, 2016
KEEL POINT, LLC
January 2, 2015 - July 29, 2016
KEEL POINT CAPITAL, LLC
August 5, 2014 - December 31, 2014
KEEL POINT INVESTMENTS, LLC
October 3, 2013 - December 31, 2014
WFG INVESTMENTS, INC.
August 14, 2013 - December 31, 2014
KEEL POINT ADVISORS, LLC
May 3, 2011 - June 4, 2013
TRUIST INVESTMENT SERVICES, INC.
October 3, 1997 - June 4, 2013
TRUIST INVESTMENT SERVICES, INC.
August 13, 1996 - April 25, 1997
UBS FINANCIAL SERVICES INC.
April 27, 1995 - July 16, 1996
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
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
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
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.
