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Craig Johnson

Board Member at PT Asset Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Craig Johnson is Board Member of PT Asset Management, LLC, a Chicago investment adviser managing $11.3B. Craig Johnson has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at PT Asset Management

Title on Schedule A
Board Member
Control
Craig Johnson is a control person of PT Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Craig Johnson has held the filed role since February 2025.

The firm

PT Asset Management, LLC
Chicago, IL

Form ADV filed 31 March 2026

$11.3B AUM4 clients16 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 52TO · 2025
  2. Passed SIE · 2018
  3. Passed Series 24 · 2005
  4. Passed Series 53 · 2000
  5. Passed Series 7 and Series 63 · 1996

Registrations and exams

Broker registration; no current adviser registration. Craig Johnson has passed 6 qualifying exams.

Examinations

Series 6331 December 1996
Name
Uniform Securities Agent State Law Examination
Series 2414 February 2005
Name
General Securities Principal Examination
Series 534 February 2000
Name
Municipal Securities Principal Examination
Series 52TO25 September 2025
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 725 September 1996
Name
General Securities Representative Examination

Individual record

Full name
Craig Stephen Johnson
CRD
2339510
Firm
PT Asset Management, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Craig Johnson work?

Craig Johnson has been Board Member of PT Asset Management, LLC since February 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 March 2026

Does Craig Johnson have a current investment-adviser registration?

Craig Johnson has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Craig Johnson passed?

Craig Johnson has passed 6 licensing exams: the Series 7, Series 63, Series 53, Series 24, SIE and Series 52TO. The earliest, the Series 7, was passed in September 1996.

Source: IAPD individual record, checked 17 October 2026

Leadership at PT Asset Management

  • Sean Dranfield
    Chief Executive Officer
  • Steven Hayes
    Chief Financial Officer & Chief Operating Officer
  • Anne Duffy
    Chief Compliance Officer & General Counsel
  • Eric Brown
    Board Member
  • Ryan Massey
    Board Member
  • Philip Nussbaum
    Board Member
  • George Plaiss
    Senior Portfolio Manager
  • Anthony Harris
    Senior Portfolio Manager

Sources

  1. IAPD individual record, CRD 2339510. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of PT Asset Management, LLC, filed 31 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Craig Johnson or PT Asset Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.