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STEVEN RAY JOHNSON
STEVE RAY JOHNSON
CRD#: 5054648
IA
B
PRINCIPAL ADVISED SERVICESCRD#: 297324 DES MOINES, IA
PRINCIPAL SECURITIES, INC.CRD#: 1137 711 HIGH ST
DES MOINES, IA 50392
DES MOINES, IA 50392
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2/18/2018
Financial
Final
8/7/1996
Judgment / Lien
11/20/1995
Judgment / Lien
State Registrations
B
Iowa 5/17/2024
IA
Iowa 8/20/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
Registered with this firm since 5/24/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/02/2013 - 05/16/2016 | DES MOINES, IA | |
B | 04/09/2009 - 06/22/2012 | WEST DES MOINES, IA | |
B | 11/10/2005 - 03/19/2009 | DES MOINES, IA |
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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.