Johanna Cortes-crespo
Professional Summary
Johanna Cortes-crespo, who also goes by Johanna Cortes, is a registered financial advisor currently at PERSHING LLC located in Lake Mary, Florida. Johanna is registered as a RR (Registered Representative) and started their career in finance in 2013. Johanna has worked at 1 firm and has passed the SIE, Series 7, Series 99 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Johanna Cortes
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION | BNY WEALTH SOLUTIONS
Contact Information
Main Address
One Pershing Plaza, Jersey City, NJ 07399Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399Phone Number
(201) 413-2000Established
Delaware since 01/17/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | — |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| EISENBERG, MATTHEW | CHIEF COMPLIANCE OFFICER | 4305269 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| NICHOLSON-FLORENCE, JONATHAN | BOARD MEMBER, CHIEF RISK OFFICER | 6131790 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| UDESHI, NEHAL | BOARD MEMBER | 5194790 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
Disclosures
Regulatory Event
74Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/8/2017)
Exams
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SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Johanna Cortes-crespo's CRS (Customer Relationship Summary).
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