Carold 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.
Carold James Johnson SR, who also goes by C.james Johnson, Carold James Johnson, Jim Johnson, was a registered financial professional .
Carold is a previously registered financial professional and started their career in finance in 1970. Carold had worked at 4 firms and has passed the SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2005 - February 24, 2015
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 21, 2001 - October 19, 2005
SLD AMERICA EQUITIES, INC.
July 30, 1997 - December 21, 2001
VOYA FINANCIAL ADVISORS, INC.
May 16, 1996 - July 31, 1997
WOODBURY FINANCIAL SERVICES, INC.
October 12, 1984 - December 31, 1996
VOYA FINANCIAL ADVISORS, INC.
February 10, 1970 - September 28, 1984
WOODBURY FINANCIAL SERVICES, INC.
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 00
Date: 2/10/1970
General Securities Principal ExaminationCurrent Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
