Individual Firm
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CHRISTOPHER MICHAEL JOHNSON
CHRIS M JOHNSON, CHRIS MICHAEL JOHNSON, CHRIS JOHNSON, CHRISTOPHER M JOHNSON, CHRISTOPHER JOHNSON
CRD#: 5584220
IA
B
MARINER INDEPENDENTCRD#: 283824 12647 Alcosta Blvd.,
Suite 165
San Ramon, CA 94583
Suite 165
San Ramon, CA 94583
LPL FINANCIAL LLCCRD#: 6413 12647 ALCOSTA BLVD, SUITE 165
SAN RAMON, CA 94583
SAN RAMON, CA 94583
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Arizona 5/17/2021
B
Nevada 4/2/2019
B
California 5/5/2016
B
New Jersey 9/8/2021
IA
California 7/6/2016
B
New Mexico 5/17/2021
B
Colorado 9/14/2016
B
New York 5/5/2016
B
Connecticut 4/29/2022
B
Ohio 5/18/2021
B
Florida 6/23/2021
B
Oregon 5/5/2016
B
Georgia 7/28/2016
B
Pennsylvania 3/6/2019
B
Hawaii 3/9/2022
B
Puerto Rico 12/16/2022
B
Idaho 11/21/2016
B
South Carolina 5/17/2021
B
Illinois 9/25/2018
B
Tennessee 6/25/2021
B
Indiana 5/17/2021
B
Texas 1/14/2019
B
Maryland 4/29/2022
B
Utah 5/17/2021
B
Michigan 5/5/2016
B
Virginia 10/4/2017
B
Minnesota 12/16/2023
B
Washington 5/17/2021
B
Missouri 6/30/2021
B
Wisconsin 12/16/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 7/6/2016
B
Registered with this firm since 5/5/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/06/2016 - 07/06/2016 | San Ramon, CA | |
IA | 03/05/2009 - 05/06/2016 | SAN RAMON, CA | |
B | 11/13/2008 - 05/06/2016 | SAN RAMON, CA |
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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.