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SJ

Scott E. Johnson

PHILLIP CAPITAL
Chicago, IL 60604-2653
Some features on this profile are disabled
CRD#: 4056941
SJ

Professional summary

Scott Edward Johnson, who also goes by Scott E Johnson, is a registered financial professional currently at PHILLIP CAPITAL INC. located in Chicago, Illinois.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 27, Series 24, Series 53, Series 10, Series 9 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott E 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) - BD

Click below to view Scott Edward Johnson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 30, 2022 - Present

PHILLIP CAPITAL INC.

Office #1: 141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
BD
CRD#: 173869
Chicago, IL
Past

February 3, 2022 - July 5, 2022

ALPACA SECURITIES LLC

BD
CRD#: 288202
NEW YORK, NY
Past

December 17, 2019 - August 16, 2021

WOLVERINE TRADING, LLC

BD
CRD#: 36848
CHICAGO, IL
Past

September 7, 2017 - April 23, 2018

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Chicago, IL
Past

February 24, 2004 - November 14, 2017

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL
Past

August 29, 2003 - September 26, 2003

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
CHICAGO, IL
Past

January 2, 2000 - January 31, 2003

HARRIS ASSOCIATES SECURITIES L.P.

BD
CRD#: 6959
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(3/27/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/27/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/23/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/2/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 6/12/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/28/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/5/2006
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/24/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/12/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/28/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/28/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/25/2001
Registered Options Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

PC
PHILLIP CAPITAL INC.
PHILLIP CAPITAL INC. | PHILLIPCAPITAL

CRD#: 173869 / SEC#: , 8-69558

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Phone number
(312) 356-9000
Established
Delaware since 04/30/2010
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHILLIP CAPITAL (USA) PTE LTDOWNER
CARTER, DEREK DAVIDCFO4261872
CULLEN, TIMOTHY BRENNANCHIEF COMPLIANCE OFFICER5290046
FRAZIER, CAMERON PAYNEDIRECTOR6420648
LECCHINI, FILIPPOCHIEF EXECUTIVE OFFICER5875701
SCHROEDER, TODD ALLENCHIEF OPERATING OFFICER3203892

Disclosures

Regulatory Event6

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

PHILLIP CAPITAL INC.

CRD#: 173869Chicago, IL 60604-2653

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