Timothy E. Johnson
Professional summary
Timothy Edward Johnson JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Timothy had worked at 6 firms, which includes MML INVESTORS SERVICES LLC, TRUIST ADVISORY SERVICES INC., TRUIST INVESTMENT SERVICES INC., PNC WEALTH MANAGEMENT LLC, ESSEX NATIONAL SECURITIES LLC, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2018 - July 29, 2019
MML INVESTORS SERVICES, LLC
February 9, 2018 - July 29, 2019
MML INVESTORS SERVICES, LLC
September 20, 2016 - November 22, 2017
TRUIST ADVISORY SERVICES, INC.
May 21, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
May 15, 2015 - November 22, 2017
TRUIST INVESTMENT SERVICES, INC.
November 30, 2011 - May 19, 2015
PNC WEALTH MANAGEMENT LLC
November 28, 2011 - May 19, 2015
PNC WEALTH MANAGEMENT LLC
July 11, 2011 - November 14, 2011
ESSEX NATIONAL SECURITIES, LLC
July 8, 2011 - November 14, 2011
ESSEX NATIONAL SECURITIES, LLC
August 31, 2009 - July 8, 2011
PRUCO SECURITIES, LLC.
August 20, 2009 - July 8, 2011
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
