Claudie 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.
Claudie Johnson, CFP®, who also goes by Claudie Johnson Jr, Claudie Johnson Jr., was a registered financial professional .
Claudie is a previously registered financial professional and started their career in finance in 1999. Claudie had worked at 5 firms and has passed the Series 66, Series 63 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
Start date: 2004
Experience
April 6, 2018 - July 9, 2018
SEDNA WEALTH MANAGEMENT, LLC
September 8, 2008 - July 8, 2011
FIFTH THIRD SECURITIES, INC.
September 8, 2008 - July 8, 2011
FIFTH THIRD SECURITIES, INC.
October 17, 2005 - August 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2005 - August 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 2003 - October 27, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - April 20, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, 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
Current Firm
SEDNA WEALTH MANAGEMENT, LLC
CRD#: 293431 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 750,000 |
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.
