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GJ

Guy S. Johnson

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CRD#: 5487553
GJ

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.

Guy Samuel Bruce Johnson, who also goes by Guy Johnson, was a registered financial professional .

Guy is a previously registered financial professional and started their career in finance in 2008. Guy had worked at 2 firms and has passed the Series 63 and Series 17 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Guy Johnson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 21, 2008 - September 24, 2012

ROSENTHAL GLOBAL SECURITIES LLC

BD
CRD#: 19721
CHICAGO, IL
Past

April 30, 2008 - July 22, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 17
Date: 4/29/2008
Limited Registered Representative Examination

Current Firm

RG
ROSENTHAL GLOBAL SECURITIES LLC
ROSENTHAL GLOBAL SECURITIES COMPANY | ROSENTHAL GOVERNMENT SECURITIES COMPANY | ROSENTHAL GLOBAL SECURITIES, L.P. | ROSENTHAL GLOBAL SECURITIES LLC

CRD#: 19721 / SEC#: , 8-38021

BD
Terminated by SEC on 09/21/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 01/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ROSENTHAL COLLINS GROUP, LLCMANAGING MEMBER
LESERVE, CHRISTINE ANNCHIEF COMPLIANCE OFFICER AND CONTROLLER1725470
MCKOANE, JOHN STICKNEYOPERATIONS OFFICER1714737

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.

Company Information

ROSENTHAL GLOBAL SECURITIES LLC

CRD#: 19721

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