James E. 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.
James Erik Johnson, who also goes by James E Johnson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 5 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 6, Series 31 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
July 25, 2023 - November 20, 2024
CROAK CAPITAL
May 21, 2021 - February 4, 2022
W&S BROKERAGE SERVICES, INC.
June 8, 2007 - July 30, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 17, 2006 - June 4, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 30, 2000 - May 17, 2001
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CROAK CAPITAL
CRD#: 297666 / SEC#: 801-126464
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 6TO
Date: 5/21/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CROAK CAPITAL
CRD#: 297666 / SEC#: 801-126464
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,027 |
| AUM (Assets Under Management) | $ 300,230,116 |
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.
