Kelli A. 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.
Kelli A Johnson, who also goes by Kelli A Heiser, Kelli Ann Heiser-laselle, Kelli Ann Heiserlaselle, was a registered financial professional .
Kelli is a previously registered financial professional and started their career in finance in 2000. Kelli had worked at 4 firms and has passed the 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
Experience
March 31, 2010 - July 26, 2013
ESSEX NATIONAL SECURITIES, LLC
February 28, 2008 - April 10, 2008
WINDSOR STREET CAPITAL, LP
December 20, 2002 - March 15, 2006
FIFTH THIRD SECURITIES, INC.
September 7, 2000 - November 29, 2002
UBS FINANCIAL 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
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
