Clifton 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.
Clifton Ellis Johnson was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 2004. Clifton had worked at 8 firms and has passed the Series 66, SIE 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
January 31, 2020 - March 20, 2025
INTERNATIONAL ASSETS ADVISORY, LLC
January 8, 2018 - June 8, 2018
USAA INVESTMENT SERVICES COMPANY
December 22, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
December 12, 2014 - June 8, 2018
USAA FINANCIAL ADVISORS, INC.
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
July 31, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 31, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 1, 2004 - July 23, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
March 23, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 23, 2004 - July 23, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
