Craig 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.
Craig Lee Johnson was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1974. Craig had worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, 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
November 22, 2005 - December 1, 2023
WOOD WARREN & CO. SECURITIES, LLC
September 25, 2000 - April 9, 2002
ABN AMRO INCORPORATED
April 15, 1999 - August 15, 2000
PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
April 22, 1987 - February 12, 1999
CITIGROUP GLOBAL MARKETS INC.
February 24, 1978 - February 27, 1987
MORGAN STANLEY DW INC.
May 7, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 5/2/1974
Registered Representative ExaminationCurrent Firm
WOOD WARREN & CO. SECURITIES, LLC
CRD#: 136526 / SEC#: , 8-67024
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOOD WARREN & CO. LP | MEMBER | |
| POSTREL, HELENE BERSON | FINOP/CFO | 2240945 |
| SHIMER, DONALD ALBERT JR | PRINCIPAL | |
| WOOD, JAMES ROGER | CEO, CCO |
Red Flags
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