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CJ

Charles D. Johnson

Some features on this profile are disabled
CRD#: 2695637
CJ

Professional summary

Charles Damien Johnson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Charles had worked at 11 firms, which includes LAIDLAW & COMPANY (UK) LTD., GLOBAL ARENA CAPITAL CORP, NATIONAL SECURITIES CORPORATION, BROOKVILLE CAPITAL PARTNERS, MORGAN WILSHIRE SECURITIES INC., EKN FINANCIAL SERVICES INC., NEW TIMES SECURITIES SERVICES INC., H.J. MEYERS & CO. INC., LEGEND MERCHANT GROUP INC., ROYCE INVESTMENT GROUP INC., LADENBURG CAPITAL MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlie Johnson | Chuck Johnson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 4, 2013 - December 24, 2013

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
MELVILLE, NY
Past

June 5, 2012 - December 18, 2012

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
MELVILLE, NY
Past

July 13, 2010 - June 5, 2012

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
HUNTINGTON, NY
Past

August 5, 2009 - July 14, 2010

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
MELVILLE, NY
Past

September 30, 2008 - July 23, 2009

MORGAN WILSHIRE SECURITIES, INC.

BD
CRD#: 44807
GARDEN CITY, NY
Past

October 29, 2007 - September 25, 2008

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
HUNTINGTON, NY
Past

September 6, 2007 - November 9, 2007

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

June 29, 1998 - August 5, 1998

NEW TIMES SECURITIES SERVICES, INC.

BD
CRD#: 34154
MELVILLE, NY
Past

April 30, 1997 - May 30, 1997

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

February 24, 1997 - April 1, 1997

LEGEND MERCHANT GROUP, INC.

BD
CRD#: 5155
NEW YORK, NY
Past

November 6, 1996 - February 7, 1997

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, NY
Past

August 14, 1996 - September 12, 1996

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2007
General Securities Representative Examination

Current Firm

L&
LAIDLAW & COMPANY (UK) LTD.
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZ
Mailing Address
521 5th Avenue 12th Fl, New York, NY 10175
Phone number
(212) 697-5200
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAIDLAW HOLDINGS LTDOWNER
BELLO, JAMES ALANCCO2844016
DAPONTE, ARTHUR JARRODFINOP7801577
EITNER, MATTHEW DCHIEF EXECUTIVE OFFICER3267261
REGAN, HUGHDIRECTOR - INVESTMENT BANKING1254114
SILVERMAN, PETER HOWARDSEO/BRANCH MANAGER1239510

Disclosures

Regulatory Event9
Arbitration4

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.

Company Information

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

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