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DJ

Daren G. Johnson

Some features on this profile are disabled
CRD#: 6236016
DJ

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.

Daren Gregory Johnson, who also goes by Daren Gregory Johnson, Daren Johnson, was a registered financial professional .

Daren is a previously registered financial professional and started their career in finance in 2013. Daren had worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daren Gregory Johnson | Daren Johnson

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 2, 2019 - March 6, 2020

INTREPID INVESTMENT BANKERS LLC

BD
CRD#: 154801
LOS ANGELES, CA
Past

June 1, 2017 - March 27, 2019

STOUT CAPITAL, LLC

BD
CRD#: 127302
LOS ANGELES, CA
Past

November 20, 2013 - November 29, 2016

BWK TRINITY CAPITAL SECURITIES LLC

BD
CRD#: 120723
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/19/2013
Investment Banking Registered Representative Examination

Current Firm

II
INTREPID INVESTMENT BANKERS LLC
INTREPID INVESTMENT BANKERS LLC | INTREPID MERCHANT BANKERS, LLC

CRD#: 154801 / SEC#: , 8-68674

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11755 Wilshire Blvd., Suite 2150 And 2200, Los Angeles, CA 90025
Mailing Address
11755 Wilshire Blvd., Suite 2150 And 2200, Los Angeles, CA 90025
Phone number
(310) 478-9000
Established
Delaware since 04/28/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MUFG AMERICAS HOLDINGS CORPORATIONDIRECT OWNER
BAGDASARIAN, EDUARDCEO1307175
FREEDMAN, JAMES BARRYMANAGING DIRECTOR, CHAIRMAN1616904
MILKMAN, PAUL DAVIDCHIEF INFORMATION SECURITY OFFICER1564708
MORIN, STACEY LYNNCHIEF FINANCIAL OFFICER5649422
ROSENBERG, W MICHAELSENIOR MANAGING DIRECTOR1617639
SCANDURA, STEPHEN THOMASCHIEF COMPLIANCE OFFICER4539229

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.

Company Information

INTREPID INVESTMENT BANKERS LLC

CRD#: 154801

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