Robert 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.
Robert Lee Johnson, who also goes by Bob Johnson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1974. Robert had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2005 - October 9, 2006
GOLDEN STATE MUTUAL SECURITIES CORP.
January 30, 2002 - October 10, 2002
ALLEGHENY INVESTMENTS, LTD.
April 6, 2000 - March 1, 2002
INVESTORS CAPITAL CORP.
March 17, 1997 - April 9, 1998
PRUCO SECURITIES, LLC.
November 17, 1994 - October 25, 1996
THE ADVISORS GROUP, INC.
March 7, 1994 - December 9, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 7, 1994 - December 9, 1994
OSAIC FA, INC.
May 24, 1993 - January 19, 1994
THE ADVISORS GROUP, INC.
August 1, 1989 - February 20, 1991
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
October 26, 1987 - June 9, 1989
NYLIFE SECURITIES LLC
April 13, 1983 - March 10, 1986
NORTH AMERICAN MANAGEMENT, INC.
October 25, 1979 - April 9, 1981
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 1, 1976 - January 1, 1980
ADVANTAGE CAPITAL CORPORATION
June 5, 1974 - January 24, 1975
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 5, 1974 - January 24, 1975
OSAIC FA, 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: 6/5/1974
Registered Representative ExaminationCurrent Firm
GOLDEN STATE MUTUAL SECURITIES CORP.
CRD#: 35106 / SEC#: , 8-46569
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDEN STATE MUTUAL LIFE INSURANCE COMPANY | OWNER | |
| JAMES, CHARLES L | PRESIDENT | 2405483 |
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.
