WILLIAM EDWARD JOHNSON

WILLIAM EDWARD JOHNSON is currently employed as a Broker and/or Investment Adviser at CETERA FINANCIAL SPECIALISTS LLC located at 4900 REED RD, SUITE 207, COLUMBUS, OH, 43220.

WILLIAM EDWARD JOHNSON has worked at CETERA FINANCIAL SPECIALISTS LLC since May 06, 2004

Disclosure History

WILLIAM EDWARD JOHNSON has 1 Disclosure Event(s).

Date: January 27, 2010
Category: Customer Dispute
Allegations: FAILURE TO INFORM CLIENT OF TRANSFER PROCESS/RISK EXPOSURE
Damage Amount Requested: $18,383.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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