Halford H. 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.
Halford Herman Briggs Johnson JR, who also goes by Hal Johnson Jr, Halford B Johnson Jr, Halford Briggs Johnson Jr, Halford Briggs Johnson, Halford Herman Briggs Johnson, was a registered financial professional .
Halford is a previously registered financial professional and started their career in finance in 1967. Halford had worked at 9 firms and has passed the Series 63, 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
January 5, 2007 - December 31, 2013
GROVE POINT INVESTMENTS, LLC
December 1, 2006 - December 19, 2006
WALL STREET FINANCIAL GROUP, INC.
January 1, 2004 - December 31, 2006
VOYA FINANCIAL ADVISORS, INC.
June 15, 1998 - January 1, 2004
LOCUST STREET SECURITIES, INC.
June 1, 1998 - October 1, 1998
OSAIC FA, INC.
September 28, 1995 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 18, 1995 - May 31, 1995
PRINCIPAL SECURITIES, INC.
April 3, 1985 - November 18, 1991
1717 CAPITAL MANAGEMENT COMPANY
July 11, 1984 - March 14, 1985
NEW ENGLAND SECURITIES
September 7, 1979 - January 29, 1996
LOCUST STREET SECURITIES, INC.
October 16, 1967 - October 7, 1979
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 9/28/1967
Registered Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 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.
