Dennis A. 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.
Dennis Andrew Johnson was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1979. Dennis had worked at 5 firms and has passed the Series 63 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
May 27, 1988 - February 21, 1989
HAMILTON, WILLIAMS & CO., INC.
April 14, 1988 - May 20, 1988
NATIONAL SECURITIES CORPORATION
June 26, 1984 - February 10, 1986
FIRST UNION SECURITIES INC
March 23, 1982 - June 4, 1984
PAULSON INVESTMENT COMPANY LLC
March 26, 1979 - March 18, 1982
T.E. SLANKER 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
Current Firm
HAMILTON, WILLIAMS & CO., INC.
CRD#: 17612 / SEC#: , 8-33994
Contact information
Documents
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.
