Scott E. 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.
Scott Edward Johnson was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 4 firms and has passed the Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2005 - December 8, 2012
THE TAVENNER COMPANY
January 22, 2003 - July 21, 2005
WESTMINSTER FINANCIAL ADVISORY CORP
January 6, 1999 - July 21, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
April 14, 1998 - December 31, 1998
THE TAVENNER COMPANY
November 13, 1997 - April 8, 1998
INVESTORS CAPITAL 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
THE TAVENNER COMPANY
CRD#: 18004 / SEC#: , 8-41206
Contact information
FINRA licenses (24 States and Territories)
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.
