Joshua 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.
Joshua R Johnson, who also goes by Joshua Ryan Johnson, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2016. Joshua had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2025 - August 4, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
January 29, 2024 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
January 29, 2024 - August 4, 2025
SORRENTO PACIFIC FINANCIAL, LLC
January 29, 2024 - August 4, 2025
CUSO FINANCIAL SERVICES, L.P.
January 29, 2024 - August 4, 2025
CADARET, GRANT & CO., INC.
May 13, 2021 - August 1, 2025
GROVE POINT ADVISORS, LLC
April 30, 2021 - August 1, 2025
GROVE POINT INVESTMENTS, LLC
November 8, 2018 - May 5, 2021
RAYMOND JAMES & ASSOCIATES, INC.
November 7, 2018 - May 5, 2021
RAYMOND JAMES & ASSOCIATES, INC.
November 17, 2017 - November 5, 2018
T. ROWE PRICE ADVISORY SERVICES, INC.
July 26, 2016 - November 5, 2018
T. ROWE PRICE INVESTMENT SERVICES, INC.
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
