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James Bruce Johnson
JAMES JOHNSON, JIM JOHNSON
CRD#: 5551678
IA
B
NWF ADVISORY SERVICES INCCRD#: 110410 6 Laketrail
Irvine, CA 92604
Irvine, CA 92604
OSAIC WEALTH, INC.CRD#: 23131 IRVINE, CA
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Disclosures
15
Years of Experience
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State Registrations
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Arizona 6/2/2023
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Idaho 1/11/2019
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California 1/11/2019
B
South Carolina 3/18/2024
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California 1/14/2019
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Texas 1/11/2019
B
Delaware 8/21/2020
B
Washington 6/10/2022
SRO Registrations
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Registered with this firm since 1/14/2019
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/07/2013 - 01/16/2019 | LAGUNA HILLS, CA | |
B | 06/07/2013 - 01/16/2019 | LAGUNA HILLS, CA | |
IA | 09/02/2011 - 04/04/2013 | SANTA ANA, CA | |
B | 08/10/2011 - 04/04/2013 | SANTA ANA, CA | |
B | 04/23/2010 - 05/04/2010 | REDONDO BEACH, CA | |
B | 08/06/2008 - 05/03/2010 | TORRANCE, CA |
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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.
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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.