Stephen Johnson
Professional summary
Stephen Johnson, who also goes by Stephen James Johnson, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2019 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416March 4, 2019 - March 13, 2019
USA FINANCIAL SECURITIES LLC
December 1, 2017 - December 11, 2018
ALLIANZ LIFE FINANCIAL SERVICES, LLC
July 14, 2014 - October 9, 2017
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 11, 2013 - July 14, 2014
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 20, 2011 - June 13, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
August 20, 2009 - May 11, 2011
VOYA FINANCIAL ADVISORS, INC.
March 23, 2007 - March 23, 2009
MANULIFE INVESTMENT MANAGEMENT (US) LLC
March 23, 2007 - March 23, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
March 14, 2007 - March 23, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
June 6, 2005 - March 14, 2007
JOHN HANCOCK DISTRIBUTORS LLC
February 7, 2005 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
February 2, 2005 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
October 6, 2003 - January 24, 2005
LASALLE FINANCIAL SERVICES, INC.
October 3, 2003 - January 24, 2005
LASALLE FINANCIAL SERVICES, INC.
March 31, 1998 - October 8, 2003
MORGAN STANLEY DW INC.
November 20, 1996 - October 8, 2003
MORGAN STANLEY DW 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
(4/2/2019)
(4/2/2019)
Exams
FINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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