Terrance 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.
Terrance Leslie Johnson was a registered financial professional .
Terrance is a previously registered financial professional and started their career in finance in 1974. Terrance had worked at 3 firms and has passed the Series 63, 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
February 22, 1978 - October 27, 2009
RECOM SECURITIES, INC.
March 3, 1976 - March 21, 1978
MIDWEST DISCOUNT SECURITIES, INC.
March 29, 1974 - January 5, 1977
ANCHOR SECURITIES, 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
F04
Date: 10/18/1973
Financial Principal ExaminationSeries 00
Date: 10/18/1973
General Securities Principal ExaminationCurrent Firm
RECOM SECURITIES, INC.
CRD#: 7488 / SEC#: , 8-21825
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
