Thomas W. 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.
Thomas William Johnson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2008. Thomas had worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 34, Series 3, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2018 - June 30, 2021
TD AMERITRADE CLEARING, INC.
August 23, 2016 - July 19, 2017
TD AMERITRADE CLEARING, INC.
November 15, 2013 - June 30, 2021
TD AMERITRADE, INC.
August 19, 2013 - June 30, 2021
TD AMERITRADE, INC.
September 15, 2011 - July 29, 2013
INTERACTIVE BROKERS LLC
March 31, 2008 - September 28, 2010
INTERACTIVE BROKERS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/4/2024
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
Red Flags
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