Charles W. 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 Walter Johnson, who also goes by Chuck 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 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 15, Series 5, PC, Series 7, Series 53, Series 12, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2014 - March 2, 2026
COHEN & COMPANY SECURITIES, LLC
May 23, 2001 - January 31, 2014
JVB FINANCIAL GROUP, LLC
April 24, 2001 - June 20, 2001
INTL CUSTODY & CLEARING SOLUTIONS INC.
June 14, 1999 - April 27, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 3, 1994 - November 16, 1999
JWGENESIS SECURITIES, INC.
July 30, 1990 - January 3, 1994
JW GENESIS CLEARING CORP.
December 11, 1984 - August 2, 1990
UBS FINANCIAL SERVICES INC.
December 19, 1978 - December 27, 1984
MORGAN STANLEY DW INC.
September 26, 1978 - February 9, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1976 - September 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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 15
Date: 4/3/1987
Foreign Currency Options ExaminationSeries 5
Date: 10/27/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 12
Date: 5/16/1981
NYSE Branch Manager ExaminationCurrent Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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