Michelle L. 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.
Michelle Lyn Johnson, who also goes by Michelle Lyn Bass, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2003. Michelle had worked at 3 firms and has passed the Series 66 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 6, 2004 - March 22, 2012
WMBC
June 30, 2004 - September 9, 2009
VALMARK SECURITIES, INC.
February 25, 2003 - July 1, 2004
WADDELL & REED
January 24, 2003 - July 1, 2004
WADDELL & REED
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
WMBC
CRD#: 124462 / SEC#: 801-80426
Contact information
Regulatory assets under management
| Total Number of Accounts | 648 |
| AUM (Assets Under Management) | $ 116,209,055 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/12/2024 | ||
| 08/14/2023 | ||
| 01/10/2023 | ||
| 08/25/2022 |
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.
