Stephen M. 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.
Stephen Michael Johnson, who also goes by Steve Johnson, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2004 - December 8, 2004
WORTHMARK FINANCIAL SERVICES, LLC
January 21, 2000 - April 10, 2001
USALLIANZ SECURITIES, INC.
July 1, 1999 - December 21, 1999
USALLIANZ SECURITIES, INC.
November 2, 1998 - July 12, 1999
NYLIFE SECURITIES LLC
January 16, 1998 - August 19, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
February 12, 1993 - December 31, 1997
VOYA FINANCIAL ADVISORS, INC.
October 23, 1991 - February 18, 1993
SENTRY EQUITY SERVICES, INC.
November 20, 1984 - October 3, 1990
LUTHERAN BROTHERHOOD SECURITIES CORP.
December 26, 1980 - July 18, 1984
SENTRY EQUITY 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
WORTHMARK FINANCIAL SERVICES, LLC
CRD#: 47086 / SEC#: , 8-51679
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORTHMARK HOLDING COMPANY, INC | 51% OWNER | |
| RETIREMENT SOLUTIONS GROUP, LLC | 49% VOTING OWNER | |
| BURNS, THOMAS PATRICK | DIRECTOR | 1028109 |
| CONNOLLY, GEORGE IGNATIUS | DIRECTOR | 1457599 |
| EHREN, ROBERT JOHN | DIRECTOR | 1850875 |
| KAVANAUGH, WILFORD JAMES JR | DIRECTOR | 2641646 |
| KOSKIE, ANDREW THOMAS | ASSISTANT SECRETARY | 4392687 |
| MCCLOSKEY, RICHARD ROBERT | CHIEF EXECUTIVE OFFICER, CHAIRMAN | 325602 |
| MCRAE, JOSEPH SCOTT | ASSISTANT SECRETARY | 2087535 |
| PETERSON, JAMES CRAIG | DIRECTOR | 2296613 |
| WALLAKE, RANDY FENTON | DIRECTOR | |
| WHITE, MICHAEL ROBERT SR | DIRECTOR | 1013711 |
| WUESTENHAGEN, TIMOTHY EDWIN | ASSISTANT TREASURER, FINOP, VICE PRESIDENT COMPLIANCE | 2977213 |
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.
