Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul David Johnson is a financial advisor with over 20 years of experience in the industry. Paul is currently registered with Charles Schwab & Co., Inc. and provides financial planning, portfolio management and selection of other advisors services to clients. Previously Paul worked with Morgan Stanley, Morgan Stanley & Co. Incorporated, Stonehaven, LLC, Morgan Stanley DW Inc., Royal Alliance Associates, Inc. and Waterhouse Securities, Inc. Paul has passed several securities licensing exams including Series 3, 7, 8, 9, 10, 24, 31, 63, 65, and 66. Paul has a strong track record of providing clients with personalized financial advice and helping them reach their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CO
01/21/2014 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
NM
06/01/2009 - 08/26/2013
MORGAN STANLEY (ALBUQUERQUE NM)
NM
01/27/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALBUQUERQUE NM)
NY
02/09/2006 - 08/29/2006
STONEHAVEN, LLC (NEW YORK NY)
NY
01/28/1997 - 02/09/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
AZ
02/11/1995 - 01/29/1997
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NE
02/22/1994 - 01/16/1995
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NY
10/05/1992 - 09/03/1993
D. H. BLAIR & CO., INC. (NEW YORK NY)
BOTH
Issued 04/13/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/21/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/07/2009
Series 24 - General Securities Principal Examination
BC
Issued 05/01/2009
Series 4 - Registered Options Principal Examination
BC
Issued 03/31/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/05/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/02/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2010
Series 3 - National Commodity Futures Examination
BC
Issued 11/06/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 10/02/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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