Charles J. 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.
Charles Jonathan Johnson, who also goes by C Jon Johnson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2017 - June 30, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 29, 2017 - June 30, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 8, 2009 - September 13, 2017
OSAIC FS, INC.
April 1, 2009 - September 13, 2017
OSAIC FS, INC.
January 13, 2009 - April 2, 2009
FINANCIAL LIFE ADVISORS
January 7, 2004 - December 31, 2008
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 1, 1997 - March 31, 2009
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 1, 1996 - May 1, 1997
MML INVESTORS SERVICES, LLC
September 14, 1987 - March 1, 1996
G. R. PHELPS & CO., INC.
March 3, 1986 - September 21, 1987
JOHN HANCOCK DISTRIBUTORS LLC
November 20, 1985 - March 1, 1996
G. R. PHELPS & CO., INC.
March 1, 1976 - March 5, 1986
G. R. PHELPS & CO., 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
Series 1
Date: 2/24/1976
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
