Raymond H. 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.
Raymond Harold Johnson was a registered financial advisor .
Raymond is a previously registered financial advisor and started their career in finance in 1976. Raymond had worked at 11 firms and has passed the Series 65, Series 63, PC, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2010 - November 4, 2010
SYNERGY INVESTMENT GROUP, LLC
May 5, 2006 - July 7, 2009
WFG ADVISORS, LP
April 28, 2006 - July 1, 2009
WFG INVESTMENTS, INC.
September 27, 2002 - May 11, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2002 - May 11, 2006
WELLS FARGO CLEARING SERVICES, LLC
March 14, 2002 - October 9, 2002
RBC CAPITAL MARKETS, LLC
March 26, 1999 - October 9, 2002
RBC CAPITAL MARKETS, LLC
September 12, 1994 - February 16, 1999
PRUDENTIAL EQUITY GROUP, LLC
June 7, 1989 - September 15, 1994
CITIGROUP GLOBAL MARKETS INC.
October 10, 1988 - June 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 15, 1988 - October 3, 1988
LEHMAN BROTHERS INC.
August 10, 1978 - February 15, 1988
E. F. HUTTON & COMPANY INC
June 24, 1976 - August 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 10/11/1978
AMEX Put and Call ExamCurrent Firm
SYNERGY INVESTMENT GROUP, LLC
CRD#: 46035 / SEC#: 801-68315, 8-51278
Contact information
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
