Theodore M. 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.
Theodore Mebane Johnson was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1970. Theodore had worked at 5 firms and has passed the Series 15, Series 5, Series 1, Series 4, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 16, 1979 - April 8, 2003
UBS FINANCIAL SERVICES INC.
January 18, 1978 - May 1, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
February 16, 1970 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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 15
Date: 11/15/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 1
Date: 5/27/1958
Registered Representative ExaminationSeries 00
Date: 2/16/1970
General Securities Principal ExaminationSeries 12
Date: 2/4/1965
NYSE Branch Manager ExaminationCurrent firm
No current employment
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.
