Timothy P. 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.
Timothy Parker Johnson was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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
April 14, 2015 - December 31, 2023
BROADOAK PARTNERS, LLC
October 14, 2004 - April 14, 2016
ENGLAND SECURITIES, LLC
January 14, 2004 - January 26, 2005
IRR CAPITAL MARKETS, INC.
July 2, 2001 - January 23, 2002
CIBC WORLD MARKETS CORP.
August 31, 1998 - August 11, 2000
B. RILEY SECURITIES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BROADOAK PARTNERS, LLC
CRD#: 143527 / SEC#: , 8-67574
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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