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Detailed Report
FREDERICK DOOLEY JOHNSON
FRED JOHNSON, FREDERICK D JOHNSON
CRD#: 1287112
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 PASADENA, CA
Registration History
1985199019952000200520102015202020252 FIRMS1984 - 1988 (3 years)2 FIRMS2018 - Present (6 years)BSIGNATOR INVESTORS, INC. (CRD# 468)1997 - 2018 (21 years)BJOHN HANCOCK MUTUAL LIFE INSUR... (CRD# 5181)1997 - 1997 (<1 year)BMONY SECURITIES CORP. (CRD# 4386)1988 - 1996 (8 years)BTHE MUTUAL LIFE INSURANCE COMP... (CRD# 2873)1988 - 1990 (2 years)IASIGNATOR INVESTORS, INC. (CRD# 468)1998 - 2018 (20 years)
License(s)

State Registrations

B
Arizona 11/2/2018
B
Nevada 11/2/2018
B
California 11/2/2018
B
New York 10/4/2019
IA
California 11/2/2018
B
Oregon 11/2/2018
B
Colorado 11/2/2018
B
Texas 11/2/2018
B
Massachusetts 11/2/2018
B
Washington 11/2/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
PASADENA, CA
Registered with this firm since 11/2/2018
B
OSAIC WEALTH, INC. (CRD#:23131)
PASADENA, CA
Registered with this firm since 11/2/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/25/1998 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) ANAHEIM, CA
B
 01/21/1997 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) ANAHEIM, CA
B
 01/21/1997 - 05/01/1997 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
B
 08/08/1988 - 12/31/1996 MONY SECURITIES CORP. (CRD#:4386) NEW YORK, NY
B
 08/08/1988 - 10/15/1990 THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (CRD#:2873) NEW YORK, NY
B
 11/05/1984 - 07/01/1988 EQUICO SECURITIES, INC. (CRD#:6627)
B
 11/05/1984 - 07/01/1988 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.