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JOSEPH B JOHNSON
JOE JOHNSON
CRD#: 5823921
IA
B
LPL FINANCIAL LLCCRD#: 6413 23 S WENATCHEE AVE., STE 113
WENATCHEE, WA 98801
WENATCHEE, WA 98801
0
Disclosures
14
Years of Experience
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State Registrations
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Florida 6/11/2019
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Oregon 3/17/2023
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Idaho 9/29/2020
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Utah 8/12/2021
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Missouri 9/30/2024
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Washington 6/11/2019
B
Montana 8/12/2021
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Washington 6/11/2019
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 6/11/2019
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Registered with this firm since 6/11/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/17/2016 - 06/03/2019 | Wenatchee, WA | |
B | 03/17/2016 - 06/03/2019 | WENATCHEE, WA | |
IA | 09/08/2015 - 03/14/2016 | Moses Lake, WA | |
B | 09/08/2015 - 03/14/2016 | Moses Lake, WA | |
IA | 10/18/2010 - 09/09/2015 | MOSES LAKE, WA | |
B | 09/22/2010 - 09/09/2015 | MOSES LAKE, WA |
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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.