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Detailed Report
STEPHEN ROBERT JOHNSON
CRD#: 5830518
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Investment Adviser
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Previous Broker
CWM, LLCCRD#: 155344 257 Riverside Ave, 1st Floor
Westport, CT 06880
Registration History
2010201220142016201820202022202420262 FIRMS2016 - 2016 (<1 year)IACWM, LLC (CRD# 155344)2024 - Present (1 year)BPEOPLE'S SECURITIES, INC. (CRD# 13704)2016 - 2022 (5 years)BMETLIFE SECURITIES INC. (CRD# 14251)2011 - 2016 (4 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2010 - 2011 (1 year)IAPEOPLE'S UNITED ADVISORS, INC. (CRD# 292454)2018 - 2022 (4 years)IAPEOPLE'S SECURITIES, INC. (CRD# 13704)2016 - 2020 (3 years)IAMETLIFE SECURITIES INC. (CRD# 14251)2014 - 2016 (1 year)IAMETLIFE SECURITIES INC. (CRD# 14251)2011 - 2014 (2 years)
License(s)

State Registrations

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Connecticut 1/16/2024
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New Jersey 9/17/2024
Current Registration(s)
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CWM, LLC (CRD#:155344)
257 Riverside Ave, 1st Floor, Westport, CT 06880
125 Half Mile Road, Suite 200, Red Bank, NJ 07701
Registered with this firm since 1/16/2024
Previous Registration(s)
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 04/03/2018 - 12/31/2022 PEOPLE'S UNITED ADVISORS, INC. (CRD#:292454) New York, NY
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 11/02/2016 - 09/07/2022 PEOPLE'S SECURITIES, INC. (CRD#:13704) New York, NY
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 11/03/2016 - 03/31/2020 PEOPLE'S SECURITIES, INC. (CRD#:13704) New York, NY
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 03/22/2016 - 11/29/2016 GERSTEIN FISHER (CRD#:118551) NEW YORK, NY
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 03/15/2016 - 11/29/2016 GFA SECURITIES, LLC (CRD#:128568) NEW YORK, NY
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 08/28/2014 - 03/03/2016 METLIFE SECURITIES INC. (CRD#:14251) STAMFORD, CT
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 11/02/2011 - 03/03/2016 METLIFE SECURITIES INC. (CRD#:14251) STAMFORD, CT
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 11/11/2011 - 02/13/2014 METLIFE SECURITIES INC. (CRD#:14251) STAMFORD, CT
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 08/19/2010 - 09/16/2011 PRUCO SECURITIES, LLC. (CRD#:5685) SHELTON, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.