Stewart 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.
Stewart Johnson, who also goes by E. Stewart Johnson, was a registered financial professional .
Stewart is a previously registered financial professional and started their career in finance in 1999. Stewart had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2019 - October 2, 2019
VANDERBILT SECURITIES, LLC
August 16, 2018 - May 7, 2019
ACADEMY SECURITIES, INC.
October 5, 2016 - October 13, 2016
MCBARRON CAPITAL LLC
July 5, 2011 - October 20, 2015
MCBARRON CAPITAL LLC
September 17, 2010 - June 30, 2011
PSCO INTERNATIONAL DISTRIBUTORS LTD. LLC
November 6, 2003 - June 1, 2007
B. RILEY SECURITIES, INC.
December 2, 1999 - November 11, 2003
LEHMAN BROTHERS INC.
February 26, 1999 - November 16, 1999
CIBC WORLD MARKETS CORP.
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
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
