Colin 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.
Colin Johnson, who also goes by Colin Lee Johnson, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 2010. Colin had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2024 - February 13, 2026
GRADIENT SECURITIES, LLC
April 25, 2018 - October 1, 2024
CHELSEA FINANCIAL SERVICES
March 10, 2015 - March 19, 2018
GRADIENT SECURITIES, LLC
November 23, 2010 - May 14, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
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
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
