Daniel E. 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.
Daniel Earl Johnson, who also goes by Dan Johnson, Daniel Johnson, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2010. Daniel had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
June 30, 2017 - August 7, 2020
MIRAE ASSET SECURITIES (USA) INC.
October 25, 2016 - January 3, 2017
NORTHLAND SECURITIES, INC.
May 9, 2016 - July 5, 2016
OLIVETREE FINANCIAL, LLC
March 18, 2016 - May 5, 2016
W.R. HAMBRECHT + CO., LLC
April 18, 2011 - October 1, 2015
MUFG SECURITIES AMERICAS INC.
August 9, 2010 - April 18, 2011
SOLEIL SECURITIES CORPORATION
February 17, 2010 - July 22, 2010
TULLETT PREBON FINANCIAL SERVICES LLC
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 55
Date: 8/12/2011
Limited Representative-Equity Trader ExamCurrent Firm
MIRAE ASSET SECURITIES (USA) INC.
CRD#: 30679 / SEC#: , 8-45034
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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