Donald 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.
Donald Sidney Johnson was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1979. Donald had worked at 7 firms and has passed the Series 63, Series 1 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2006 - May 9, 2013
INVEST FINANCIAL CORPORATION
October 25, 2005 - June 28, 2006
CETERA WEALTH SERVICES, LLC
October 24, 2005 - June 28, 2006
CETERA WEALTH SERVICES, LLC
February 10, 2003 - December 31, 2005
BLUE VASE SECURITIES, LLC
May 6, 2002 - October 24, 2005
BLUE VASE SECURITIES, LLC
March 19, 1999 - May 6, 2002
CONSECO SECURITIES, INC.
August 5, 1998 - December 31, 1998
CONSECO SECURITIES, INC.
October 15, 1993 - March 16, 1999
VOYA FINANCIAL PARTNERS, LLC
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
February 1, 1979 - August 5, 1998
CONSECO FINANCIAL SERVICES, 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 1
Date: 1/22/1979
Registered Representative ExaminationSeries 2
Date: 12/17/1970
Non-Member General Securities ExaminationCurrent Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
