Otto 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.
Otto Clark Johnson was a registered financial professional .
Otto is a previously registered financial professional and started their career in finance in 1977. Otto had worked at 14 firms and has passed the Series 63, Series 3, Series 5, Series 7 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
February 12, 2002 - August 5, 2002
FIRST WALL STREET CORP.
April 10, 2000 - March 28, 2002
INTERFIRST CAPITAL CORPORATION
September 8, 1997 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
October 3, 1996 - March 24, 1997
FORTA FINANCIAL GROUP, INC.
April 18, 1994 - May 19, 1995
SENTRA SECURITIES CORPORATION
March 1, 1993 - March 25, 1994
UNION EQUITY PARTNERS, INC.
August 9, 1991 - February 24, 1993
WELLS FARGO CLEARING SERVICES, LLC
May 25, 1989 - August 16, 1991
LEHMAN BROTHERS INC.
June 6, 1988 - August 23, 1988
TOLUCA PACIFIC SECURITIES CORP.
August 18, 1987 - January 30, 1988
USA CAPITAL
March 5, 1986 - July 13, 1987
RAUSCHER PIERCE REFSNES, INC.
March 5, 1984 - March 14, 1986
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - March 15, 1984
UBS FINANCIAL SERVICES INC.
December 5, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS 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 5
Date: 12/15/1982
Interest Rate Options ExaminationCurrent Firm
FIRST WALL STREET CORP.
CRD#: 13024 / SEC#: , 8-28441
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
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.
