Zachary 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.
Zachary Johnson, who also goes by Zachary William Johnson, was a registered financial professional .
Zachary is a previously registered financial professional and started their career in finance in 2013. Zachary had worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, 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
October 15, 2019 - June 28, 2021
GUGGENHEIM INVESTOR SERVICES, LLC
June 19, 2017 - May 24, 2018
BLACKROCK INVESTMENTS, LLC
March 18, 2013 - January 16, 2014
MARINER GROUP CAPITAL MARKETS, 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 7TO
Date: 11/6/2023
General Securities Representative ExaminationSeries 79TO
Date: 11/6/2023
Investment Banking Registered Representative ExaminationCurrent Firm
GUGGENHEIM INVESTOR SERVICES, LLC
CRD#: 30096 / SEC#: , 8-44742
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
