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Marcus Johnson
MARCUS PARNELL JOHNSON
CRD#: 5850825
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 N TRYON ST
Charlotte, NC 28255
Charlotte, NC 28255
0
Disclosures
12
Years of Experience
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State Registrations
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North Carolina 6/4/2019
IA
North Carolina 6/4/2019
SRO Registrations
B
B
B
B
B
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Registered with this firm since 6/4/2019
IA
Registered with this firm since 6/4/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/29/2018 - 02/04/2019 | FORT MILL, SC | |
B | 11/26/2018 - 02/04/2019 | FORT MILL, SC | |
IA | 05/27/2015 - 07/27/2017 | CHARLOTTE, NC | |
B | 10/01/2012 - 07/27/2017 | CHARLOTTE, NC | |
B | 11/09/2010 - 09/13/2012 | CHARLOTTE, NC |
CHARLOTTE, NC
10/01/2012 - 07/27/2017
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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.