Cheryl C. 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.
Cheryl Cynthia Johnson, who also goes by Cheryl Cynthia Neall, Cheryl C Patten, Cheryl Cynthia Smith, Cheryl Cynthia Neall Smith, was a registered financial professional .
Cheryl is a previously registered financial professional and started their career in finance in 1980. Cheryl had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5 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
May 12, 2011 - November 4, 2021
SEACREST WEALTH MANAGEMENT, LLC
July 2, 2009 - September 30, 2020
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - July 8, 2009
MORGAN STANLEY
June 1, 2009 - July 8, 2009
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 22, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
November 15, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
December 22, 1989 - December 6, 1999
A. G. EDWARDS & SONS, INC.
August 22, 1980 - January 3, 1990
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
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
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationCurrent Firm
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
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.
