Nicholas S. 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.
Nicholas Scott Johnson was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2015. Nicholas had worked at 3 firms and has passed the Series 63, 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
June 12, 2019 - February 5, 2020
HEXAGON CAPITAL ALLIANCE LLC
March 5, 2018 - February 11, 2019
MERIT SECURITIES, LLC
May 12, 2015 - March 9, 2016
GRIFFIN CAPITAL SECURITIES, 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
Current Firm
HEXAGON CAPITAL ALLIANCE LLC
CRD#: 47981 / SEC#: , 8-52002
Contact information
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.
