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DJ

David Johnson

CARSON GROUP BROKERAGE
Omaha, NE 68154
Some features on this profile are disabled
CRD#: 7057133
DJ

Professional summary

David Johnson is a registered financial professional currently at CARSON GROUP BROKERAGE, LLC located in Omaha, Nebraska.

David is registered as a RR (Registered Representative) and started their career in finance in 2020. David has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view David Johnson's CRS (Customer Relationship Summary).

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

Current

December 18, 2020 - Present

CARSON GROUP BROKERAGE, LLC

Office #1: 14600 Branch St, Omaha, NE 68154Office #2: 14600 Branch St, Omaha, NE 68154
BD
CRD#: 293448
Omaha, NE

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

General Industry/Product Exam
RR
Series 99TO
Date: 12/18/2020
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/22/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CG
CARSON GROUP BROKERAGE, LLC
CARSON GROUP BROKERAGE, LLC

CRD#: 293448 / SEC#: , 8-70089

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
14600 Branch St, Omaha, NE 68154
Mailing Address
14600 Branch St, Omaha, NE 68154
Phone number
(888) 321-0808
Established
Nebraska since 01/04/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CARSON GROUP HOLDINGS, LLCMEMBER
BALTOVSKI, ALEXANDERFINANCIAL OPERATIONS PRINCIPAL2350828
CLEMENTS, JAMES EDMONDCHIEF COMPLIANCE OFFICER2445775
HUNT, LANTZCHIEF OPERATING OFFICER3017958
TOBIN, DANIEL PPRESIDENT3239146

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

CARSON GROUP BROKERAGE, LLC

CRD#: 293448Omaha, NE 68154

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