James C. 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 Clayton Johnson, who also goes by Jim Johnson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 5, Series 7, Series 24, Series 53, Series 12 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
June 3, 2011 - August 18, 2015
COMERICA SECURITIES
May 4, 2011 - August 18, 2015
COMERICA SECURITIES
August 16, 2007 - December 1, 2009
UBS FINANCIAL SERVICES INC.
August 8, 2007 - December 1, 2009
UBS FINANCIAL SERVICES INC.
August 23, 1990 - January 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1990 - January 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 1989 - August 21, 1990
LEHMAN BROTHERS INC.
March 4, 1983 - February 5, 1985
PRUDENTIAL EQUITY GROUP, LLC
September 18, 1982 - August 26, 1989
THOMSON MCKINNON SECURITIES INC.
September 26, 1978 - March 16, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1977 - 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 15
Date: 9/2/1986
Foreign Currency Options ExaminationSeries 5
Date: 9/18/1985
Interest Rate Options ExaminationSeries 12
Date: 9/18/1982
NYSE Branch Manager ExaminationCurrent Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
