Sydney R. 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.
Sydney Reiko Johnson, who also goes by Sydney R Johnson, Sydney Johnson, was a registered financial professional .
Sydney is a previously registered financial professional and started their career in finance in 2016. Sydney had worked at 2 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
April 26, 2017 - December 3, 2024
"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"
February 16, 2016 - March 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2016 - March 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"
CRD#: 160657 / SEC#: 801-110370
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
"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"
CRD#: 160657 / SEC#: 801-110370
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 624 |
| AUM (Assets Under Management) | $ 322,995,213 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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