Roseann E. 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.
Roseann Edith Laurelli Johnson, who also goes by Roseann E Johnson, Roseann Edith Johnson, Roseann Edity Johnson, Roseanne Edith Laurelli Johnson, Roseann Laurelli, Roseann Edith Morgan, was a registered financial professional .
Roseann is a previously registered financial professional and started their career in finance in 1980. Roseann had worked at 11 firms and has passed the Series 63 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
August 28, 2001 - April 9, 2002
PHILADELPHIA INVESTORS, LTD.
December 2, 1998 - January 21, 2000
GRUNTAL & CO., L.L.C.
August 6, 1998 - December 11, 1998
THE MERCURY GROUP
January 2, 1992 - July 8, 1998
OPPENHEIMER & CO. INC.
March 28, 1991 - December 31, 1991
W.H. NEWBOLD'S SON & CO., INC.
March 23, 1990 - April 15, 1991
ALEX. BROWN & SONS INCORPORATED
May 15, 1987 - April 3, 1990
LEHMAN BROTHERS INC.
March 27, 1984 - May 29, 1987
CITIGROUP GLOBAL MARKETS INC.
February 3, 1981 - May 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1980 - March 2, 1981
PRUDENTIAL EQUITY GROUP, LLC
July 23, 1980 - October 19, 1980
ADVEST, 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
PHILADELPHIA INVESTORS, LTD.
CRD#: 23905 / SEC#: , 8-40805
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
