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CJ

Christopher J. Johnson

Some features on this profile are disabled
CRD#: 3211983
CJ

Professional summary

Christopher James Johnson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Christopher had worked at 2 firms, which includes NEWALLIANCE INVESTMENTS INC., EDWARD JONES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Johnson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 20, 2005 - April 20, 2006

NEWALLIANCE INVESTMENTS, INC.

RIA
CRD#: 126880
NEW HAVEN, CT
Past

November 10, 2003 - April 20, 2006

NEWALLIANCE INVESTMENTS, INC.

BD
CRD#: 126880
NEW HAVEN, CT
Past

June 9, 1999 - October 31, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/13/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/9/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/16/1999
General Securities Principal Examination

Current Firm

NI
NEWALLIANCE INVESTMENTS, INC.
NEWALLIANCE INVESTMENTS, INC. | NHSB FINANCIAL SERVICES, INC.

CRD#: 126880 / SEC#: , 8-65924

BD
Terminated by SEC on 11/29/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 02/28/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST NIAGARA BANK NAPARENT COMPANY
MURPHY, PATRICIA ANNCHIEF COMPLIANCE OFFICER, VICE PRESIDENT2531093
NESSING, BRIGID D.FINOP5455654
NEWMAN, JOHN FRANKLINCEO / PRESIDENT1751371

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.

Company Information

NEWALLIANCE INVESTMENTS, INC.

CRD#: 126880

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