Individual Firm
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TYLER JAMES JOHNSON
CRD#: 6252067
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 245 SOUTH ST
MORRISTOWN, NJ 07960
MORRISTOWN, NJ 07960
CETERA ADVISOR NETWORKS LLCCRD#: 13572 245 South Street
Morristown, NJ 07960
Morristown, NJ 07960
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5/7/2024
Judgment / Lien
3/21/2024
Judgment / Lien
6/27/2007
Criminal
Final Disposition
State Registrations
B
Arizona 8/10/2023
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New Jersey 8/10/2023
B
Delaware 8/10/2023
B
New York 8/10/2023
B
Florida 8/14/2023
B
North Carolina 8/10/2023
B
Massachusetts 8/10/2023
B
Virginia 8/10/2023
B
New Jersey 8/10/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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B
Registered with this firm since 8/10/2023
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Registered with this firm since 8/10/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/24/2017 - 08/10/2023 | Morristown, NJ | |
B | 08/08/2017 - 08/10/2023 | Morristown, NJ | |
IA | 03/25/2017 - 07/19/2017 | ROSELAND, NJ | |
B | 03/25/2017 - 07/19/2017 | ROSELAND, NJ | |
IA | 01/06/2015 - 03/25/2017 | ROSELAND, NJ | |
B | 11/08/2013 - 03/25/2017 | ROSELAND, NJ |
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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.