William L. 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.
William Lee Johnson was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1977. William had worked at 5 firms and has passed the Series 65, Series 63, PC, Series 18 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2008 - January 5, 2023
THE ITHAKA GROUP, LLC
November 23, 2005 - January 2, 2008
SANDS CAPITAL MANAGEMENT, LLC
February 11, 1992 - November 30, 2005
SANDS CAPITAL MANAGEMENT, LP
May 18, 1981 - February 11, 1992
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
March 1, 1977 - June 26, 1978
LAIDLAW, MARTIN & MOYSEY, INC.
Primary Firm SEC Registration
THE ITHAKA GROUP, LLC
CRD#: 146975 / SEC#: 801-69086
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: 1/21/1983
AMEX Put and Call ExamSeries 18
Date: 5/16/1981
Securities Industry Rules and Regulations ExaminationCurrent Firm
THE ITHAKA GROUP, LLC
CRD#: 146975 / SEC#: 801-69086
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 127 |
| AUM (Assets Under Management) | $ 554,892,816 |
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.
