Lavenia R. 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.
Lavenia Rahchelle Johnson, who also goes by Lavenia R Johnson, Lavenia Johnson, was a registered financial professional .
Lavenia is a previously registered financial professional and started their career in finance in 2006. Lavenia had worked at 5 firms and has passed the Series 66, Series 7TO, 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
November 7, 2022 - May 24, 2024
NORTHERN TRUST INVESTMENTS, INCORPORATED
September 12, 2022 - May 24, 2024
NORTHERN TRUST SECURITIES, INC.
October 17, 2011 - October 18, 2013
NORTHERN TRUST SECURITIES, INC.
April 8, 2010 - September 1, 2011
J.P. MORGAN SECURITIES LLC
April 8, 2010 - September 1, 2011
J.P. MORGAN SECURITIES LLC
November 5, 2008 - April 15, 2010
CHASE INVESTMENT SERVICES CORP.
November 4, 2008 - April 15, 2010
CHASE INVESTMENT SERVICES CORP.
March 22, 2006 - May 30, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 7, 2006 - May 30, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
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
Series 7TO
Date: 9/12/2022
General Securities Representative ExaminationCurrent Firm
NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
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.
