James R. 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.
James Russell Johnson MR., who also goes by James Russell Johnson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 9, Series 14, Series 10, Series 53, Series 27, Series 24, Series 8, F04 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
April 12, 1999 - December 31, 2022
WASHINGTON SECURITIES CORPORATION
October 13, 1998 - May 30, 2002
GLOBAL CROWN CAPITAL, LLC
February 22, 1990 - May 28, 1998
WASHINGTON INVESTMENT CORPORATION
October 12, 1988 - November 1, 1989
JOHNSTON, LEMON & CO. INCORPORATED
March 26, 1985 - October 13, 1988
ANDERSON & STRUDWICK, INCORPORATED
December 26, 1978 - March 27, 1985
RIVIERE SECURITIES CORPORATION
December 13, 1976 - January 29, 1979
VOSS & CO., INC.
November 5, 1971 - April 16, 1977
DERAND/PENNINGTON/BASS, INC.
October 30, 1969 - December 10, 1971
INTERCOASTAL CAPITAL MARKETS, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/11/1969
Registered Representative ExaminationSeries 8
Date: 3/19/1987
General Securities Sales Supervisor Examination (Options Module & General Module)F04
Date: 5/24/1978
Financial Principal ExaminationSeries 00
Date: 7/18/1972
General Securities Principal ExaminationCurrent Firm
WASHINGTON SECURITIES CORPORATION
CRD#: 46213 / SEC#: , 8-51359
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 6,975,967 |
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.
