Johnson Asase Jr
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.
Johnson Asase Jr, who also goes by Johnson Asase, was a registered financial professional .
Johnson is a previously registered financial professional and started their career in finance in 2012. Johnson 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
October 25, 2017 - July 28, 2025
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
October 24, 2017 - July 28, 2025
NYLIFE DISTRIBUTORS LLC
September 15, 2015 - May 16, 2017
MORGAN STANLEY
September 14, 2015 - May 16, 2017
MORGAN STANLEY
March 14, 2014 - February 17, 2015
MORGAN STANLEY
March 14, 2014 - February 17, 2015
MORGAN STANLEY
December 19, 2012 - February 24, 2014
ROCKWELL SECURITIES LLC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
