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MATTHEW A JOHNSON
CRD#: 4624467
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 3805 EDWARDS ROAD
SUITE 200
CINCINNATI, OH 45209
SUITE 200
CINCINNATI, OH 45209
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7/9/2022
Judgment / Lien
5/14/2022
Judgment / Lien
12/2/1997
Criminal
Final Disposition
12/2/1997
Criminal
Final Disposition
State Registrations
B
Arizona 9/28/2016
B
New York 2/2/2018
B
California 4/23/2019
B
North Carolina 11/9/2016
B
Colorado 7/26/2021
B
Ohio 7/7/2003
B
Florida 3/29/2022
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Ohio 4/18/2007
B
Illinois 12/23/2014
B
South Carolina 8/8/2017
B
Indiana 9/23/2005
B
South Dakota 8/15/2018
B
Kentucky 9/23/2005
B
Texas 2/9/2018
B
Maryland 2/11/2021
B
Virginia 9/12/2013
B
Minnesota 10/13/2020
B
West Virginia 2/10/2025
B
New Mexico 10/15/2020
SRO Registrations
B
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IA
Registered with this firm since 4/18/2007
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Registered with this firm since 7/3/2003
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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.
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