Corey T. 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.
Corey Ty'wan Johnson, who also goes by Corey T Johnson, Corey Johnson, was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 2010. Corey had worked at 6 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
January 18, 2017 - February 8, 2019
CAPITAL ONE INVESTING, LLC
January 16, 2017 - February 8, 2019
CAPITAL ONE ADVISORS, LLC
December 17, 2014 - February 23, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 11, 2014 - February 23, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 22, 2012 - May 30, 2014
MORGAN STANLEY
March 22, 2012 - May 30, 2014
MORGAN STANLEY
December 6, 2010 - January 5, 2012
EDWARD JONES
November 19, 2010 - January 5, 2012
EDWARD JONES
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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
