Charles W. 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.
Charles William Johnson was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1973. Charles had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7, PC, Series 1 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
February 10, 2016 - June 30, 2017
GREENTREE BROKERAGE SERVICES, INC.
February 21, 2012 - January 21, 2016
QUOIN CAPITAL LLC
July 2, 2002 - February 2, 2012
PACIFIC AMERICAN SECURITIES, LLC
July 29, 1996 - June 5, 2002
BLAYLOCK & COMPANY, INC.
March 28, 1994 - July 22, 1996
PRYOR, COUNTS & CO., INC.
January 19, 1993 - February 1, 1994
THE CHAPMAN CO.
January 11, 1989 - December 22, 1992
DEUTSCHE IXE, LLC
May 24, 1984 - January 9, 1989
BREAN MURRAY & CO., INC.
December 1, 1978 - May 23, 1984
KIDDER, PEABODY & CO. INCORPORATED
June 11, 1973 - October 7, 1975
ALLEN & COMPANY
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 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamPC
Date: 11/1/1978
AMEX Put and Call ExamSeries 1
Date: 6/6/1973
Registered Representative ExaminationCurrent Firm
GREENTREE BROKERAGE SERVICES, INC.
CRD#: 45316 / SEC#: , 8-51041
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
