Jeffrey 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.
Jeffrey Johnson II, who also goes by Jeffrey Johnson, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2003. Jeffrey had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2017 - July 10, 2026
SWBC INVESTMENT SERVICES, LLC
January 9, 2012 - May 24, 2017
ADVISORS ASSET MANAGEMENT, INC.
May 24, 2006 - January 30, 2012
CERT DIRECT SECURITIES INC.
June 1, 2004 - January 3, 2006
FINANCE 500, INC.
February 6, 2003 - October 6, 2003
NEW ENGLAND SECURITIES
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
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
