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Registered advisor
C•••••••• A• R••••
Feed of 09/14/2026
Also filed as Charlotte Ann Johnson
At current firm
8 y
since Sep 19, 2018
In the industry
22 y
since Oct 21, 2003 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 19, 2018 · Venice, Fl
- C••• B•••••••• S•••••••• I••• formerOct 6, 2017 to Aug 22, 2018 · Port Charlotte, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 9, 2017 to Sep 1, 2017 · Sarasota, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 27, 2016 to Sep 14, 2016 · Tampa, Fl
- J••• M••••• S••••••••• L•• wirehouseJul 1, 2013 to Aug 4, 2016 · Lexington, Ky
- E••••• J•••• national BDSep 20, 2010 to Jul 18, 2012 · Lexington, Ky
- L•• F•••••••• L•• BD affiliatedSep 9, 2008 to Sep 20, 2010 · Richmond, Ky
- U••• B•••••• I••••••••• I••• formerJan 25, 2008 to Sep 10, 2008 · Berea, Ky
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Aug 22, 2018, registered Sep 19, 2018 (28 days) · RIA to wirehouse
- C••••• I••••••••• A••••••• L•• to C••• B•••••••• S•••••••• I•••left Sep 1, 2017, registered Oct 6, 2017 (35 days) · Other
- V•••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 14, 2016, registered Feb 9, 2017 (148 days) · Other
- J••• M••••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Aug 4, 2016, registered Jul 27, 2016 (-8 days) · Other
- E••••• J•••• to J••• M••••• S••••••••• L••left Jul 18, 2012, registered Jul 1, 2013 (348 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to E••••• J••••left Sep 20, 2010, registered Sep 20, 2010 (0 days) · Other
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Sep 10, 2008, registered Sep 9, 2008 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address