Philip 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.
Philip E Johnson, CFP®, who also goes by Philip Johnson, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2008. Philip had worked at 4 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 20, 2015 - May 1, 2018
LEARNVEST PLANNING SERVICES, LLC
May 12, 2014 - October 15, 2014
HSBC SECURITIES (USA) INC.
May 12, 2014 - October 15, 2014
HSBC SECURITIES (USA) INC.
October 15, 2012 - April 24, 2014
UBS FINANCIAL SERVICES INC.
October 15, 2012 - April 24, 2014
UBS FINANCIAL SERVICES INC.
December 23, 2008 - October 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2008 - October 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
LEARNVEST PLANNING SERVICES, LLC
CRD#: 162453 / SEC#: 801-76617
Contact information
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.
