James 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.
James Michael Johnson, who also goes by Mike Johnson, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1976. James had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2013 - November 5, 2015
HARVEST FINANCIAL GROUP, LLC
March 30, 2012 - December 17, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
March 30, 2012 - November 27, 2013
FIRST ALLIED SECURITIES, INC.
November 17, 2006 - April 4, 2012
COMMONWEALTH FINANCIAL NETWORK
November 17, 2006 - April 4, 2012
COMMONWEALTH FINANCIAL NETWORK
July 15, 2004 - July 30, 2004
1717 CAPITAL MANAGEMENT COMPANY
August 5, 2002 - December 1, 2006
OSAIC FA, INC.
May 31, 2002 - May 26, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 31, 2002 - December 1, 2006
OSAIC FA, INC.
November 3, 1998 - July 26, 2002
1717 CAPITAL MANAGEMENT COMPANY
March 15, 1995 - November 6, 2002
1717 CAPITAL MANAGEMENT COMPANY
March 19, 1990 - June 13, 1995
SECURIAN FINANCIAL SERVICES, INC.
April 19, 1983 - December 31, 1989
G. R. PHELPS & CO., INC.
September 21, 1976 - December 18, 1978
SHENANDOAH EQUITY SERVICES, INCORPORATED
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: 9/18/1976
Registered Representative ExaminationCurrent Firm
HARVEST FINANCIAL GROUP, LLC
CRD#: 149503 / SEC#: 801-80117
Contact information
Regulatory assets under management
| Total Number of Accounts | 654 |
| AUM (Assets Under Management) | $ 79,269,876 |
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.
