Wayne 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.
Wayne Harold Johnson, who also goes by Wayne H Johnson, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1967. Wayne had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 5, PC 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
July 10, 2015 - November 10, 2015
REVERE SECURITIES LLC
January 28, 2015 - May 21, 2015
NEWPORT COAST SECURITIES, INC.
November 5, 2014 - January 22, 2015
INFINITY FINANCIAL SERVICES
February 20, 2013 - October 2, 2014
BRAVER STERN SECURITIES LLC
January 4, 2013 - March 19, 2013
EQUINOX SECURITIES, INC.
May 1, 2012 - December 31, 2012
QUINCY CASS ASSOCIATES, INCORPORATED
April 23, 1993 - March 23, 2012
MOORS & CABOT, INC.
October 11, 1985 - April 22, 1993
UBS FINANCIAL SERVICES INC.
September 26, 1978 - November 5, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 18, 1977 - July 19, 1978
PERSONAL CAPITAL PLANNING GROUP, INC.
August 14, 1967 - June 21, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 6/28/1978
AMEX Put and Call ExamSeries 1
Date: 8/11/1967
Registered Representative ExaminationCurrent Firm
REVERE SECURITIES LLC
CRD#: 14178 / SEC#: , 8-30511
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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