Lisa M. 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.
Lisa Marie Johnson, who also goes by Lisa M Johnson, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1998. Lisa had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 31, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2004 - March 23, 2012
DIVIDEND CAPITAL INVESTMENTS LLC
September 26, 2003 - February 2, 2021
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
February 18, 2003 - September 29, 2003
IFMG SECURITIES, INC.
October 5, 2001 - September 29, 2003
IFMG SECURITIES, INC.
January 6, 2001 - April 23, 2001
CHARLES SCHWAB & CO., INC.
January 19, 1999 - September 11, 2000
MORGAN STANLEY DW INC.
February 23, 1998 - January 26, 1999
AMERIPRISE ADVISOR 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
Series 7TO
Date: 7/26/2023
General Securities Representative ExaminationSeries 52TO
Date: 7/26/2023
Municipal Securities Representative ExaminationCurrent Firm
DIVIDEND CAPITAL INVESTMENTS LLC
CRD#: 128667 / SEC#: 801-62453
Contact information
Red Flags
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