Walter 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.
Walter Harris Johnson, who also goes by Wally Johnson, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1971. Walter had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, PC, Series 7, Series 1, Series 10 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
June 1, 2009 - June 3, 2022
MORGAN STANLEY
June 1, 2009 - June 3, 2022
MORGAN STANLEY
September 2, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 2, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 14, 1998 - September 5, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 1998 - September 5, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 1997 - May 28, 1998
LEONARD SECURITIES, INC
June 22, 1995 - July 17, 1998
LEO OPPENHEIM & CO., INC.
September 20, 1983 - June 15, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 13, 1983 - October 11, 1983
WASHINGTON NATIONAL EQUITY COMPANY
March 21, 1972 - September 1, 1981
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 3, 1971 - January 30, 1972
UMIC, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
PC
Date: 11/19/1983
AMEX Put and Call ExamSeries 1
Date: 12/1/1971
Registered Representative ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
