Steven D. 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.
Steven Donald Johnson, who also goes by Steve Johnson, Steven Donald Johnson, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2002. Steven had worked at 9 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 53 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
July 18, 2017 - February 12, 2019
CAPITAL ONE ADVISORS, LLC
July 14, 2017 - February 12, 2019
CAPITAL ONE INVESTING, LLC
November 26, 2013 - December 13, 2016
MSI FINANCIAL SERVICES, INC.
October 3, 2013 - December 13, 2016
MSI FINANCIAL SERVICES, INC.
July 9, 2012 - June 3, 2013
GRAND FINANCIAL, INC.
February 15, 2011 - November 30, 2011
CHASE INVESTMENT SERVICES CORP.
February 15, 2011 - November 30, 2011
CHASE INVESTMENT SERVICES CORP.
May 14, 2009 - February 10, 2011
WADDELL & REED
May 14, 2009 - February 10, 2011
WADDELL & REED
November 15, 2007 - May 19, 2009
CETERA WEALTH SERVICES, LLC
March 26, 2004 - October 26, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 2004 - October 26, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 2002 - March 31, 2004
MORGAN STANLEY DW INC.
October 6, 2002 - March 31, 2004
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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