David S. 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.
David Stanley Johnson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 10 firms and has passed the Series 63, 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 26, 1999 - January 13, 2000
WALL STREET FINANCIAL GROUP, INC.
November 15, 1989 - August 17, 1999
MUTUAL SECURITIES, INC.
March 20, 1987 - December 14, 1989
SENTRA SECURITIES CORPORATION
July 31, 1985 - April 11, 1987
FPI SECURITIES, INC.
May 16, 1984 - July 22, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
April 29, 1982 - May 14, 1984
WALL STREET WEST, INC.
April 18, 1979 - January 5, 1982
SOUTHMARK FINANCIAL SERVICES, INC.
January 3, 1977 - August 21, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
January 3, 1977 - August 21, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
January 3, 1977 - August 21, 1978
IDS LIFE INSURANCE COMPANY
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: 12/18/1976
Registered Representative ExaminationCurrent Firm
WALL STREET FINANCIAL GROUP, INC.
CRD#: 35830 / SEC#: 801-58292, 8-46964
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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