Rhett V. 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.
Rhett Vanalan Johnson, who also goes by Rhett Johnson, was a registered financial professional .
Rhett is a previously registered financial professional and started their career in finance in 2007. Rhett had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2019 - June 18, 2020
SONORA INVESTMENT MANAGEMENT LLC
February 25, 2011 - October 13, 2017
CHARLES SCHWAB & CO., INC.
May 25, 2007 - October 13, 2017
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
SONORA INVESTMENT MANAGEMENT LLC
CRD#: 106538 / SEC#: 801-31791
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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