Steven N. 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.
Steven Nichols Johnson, who also goes by Stephen Nichols Johnson, Steve Johnson, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1975. Steven had worked at 8 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
March 18, 1992 - September 4, 1998
TEXAS CAPITAL SECURITIES, INC.
November 29, 1991 - March 2, 1992
CAPITOL SECURITIES GROUP, INC.
October 17, 1991 - December 7, 1991
VANGUARD EQUITIES, INC.
January 4, 1988 - September 6, 1989
PRINCIPAL FINANCIAL SECURITIES,INC.
September 18, 1986 - December 15, 1987
PORCARI, FEARNOW & ASSOCIATES, INC.
September 30, 1985 - September 6, 1989
PRINCIPAL FINANCIAL SECURITIES,INC.
September 23, 1983 - September 16, 1985
E. F. HUTTON & COMPANY INC
August 28, 1979 - October 11, 1983
ROTAN MOSLE INC.
September 1, 1977 - September 7, 1979
RAUSCHER PIERCE REFSNES, INC.
March 20, 1975 - September 22, 1977
E. F. HUTTON & COMPANY 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
TEXAS CAPITAL SECURITIES, INC.
CRD#: 25564 / SEC#: , 8-41799
Contact information
Documents
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.
