Individual Firm
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KIRK J JOHNSON
KIRK JEROME JOHNSON, KIRK J JOHNSON, KIRK J. JOHNSON
CRD#: 4275307
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5862 BAUM BLVD
PITTSBURGH, PA 15206
PITTSBURGH, PA 15206
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4/8/2008
Customer Dispute
Denied
State Registrations
B
Alaska 1/18/2011
B
Nevada 8/31/2010
B
Arizona 6/26/2008
B
New Hampshire 10/26/2017
B
California 1/24/2003
B
New Jersey 1/24/2003
B
Colorado 1/27/2012
B
New Mexico 3/4/2020
B
Connecticut 5/6/2010
B
New York 1/24/2003
B
Delaware 6/22/2012
B
North Carolina 1/24/2003
B
District of Columbia 4/5/2023
B
Ohio 1/24/2003
B
Florida 1/24/2003
B
Oregon 1/28/2003
B
Georgia 1/24/2003
B
Pennsylvania 1/24/2003
B
Hawaii 9/13/2023
IA
Pennsylvania 6/25/2010
B
Illinois 1/24/2003
B
Rhode Island 6/18/2020
B
Indiana 1/24/2003
B
South Carolina 1/24/2003
B
Louisiana 9/19/2024
B
Tennessee 9/14/2021
B
Maine 5/3/2016
B
Texas 1/24/2003
B
Maryland 3/4/2020
IA
Texas 1/24/2003
B
Massachusetts 1/24/2003
B
Virginia 7/30/2007
B
Michigan 1/30/2025
B
Washington 1/19/2012
B
Minnesota 1/7/2021
B
West Virginia 4/19/2006
B
Nebraska 6/4/2021
B
Wyoming 8/10/2021
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/24/2003
B
Registered with this firm since 1/24/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/03/2001 - 01/27/2003 | PITTSBURGH, PA | |
B | 11/22/2000 - 01/27/2003 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.