DJ
Dale F. Johnson
STIFEL, NICOLAUS & COMPANY
Abilene, TX 79602
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CRD#: 1027344
DJ
Professional summary
Dale Franklin Johnson JR, who also goes by Dale Franklin Jr Johnson, Frank Johnson, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Abilene, Texas.
Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Dale has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dale Franklin Jr Johnson | Frank Johnson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Abilene Philharmonic Association; 1102 North 3rd, Abilene, TX 79601; Music performance/various types of concerts; Board Member; Promote the symphony, attend concerts, and raise operating funds; 06/01/2020; 3 Hours per Month; During Securities Trading Hours; Not Investment-Related. 2. Abilene Archives & Security Company; 201 Shelton Street, Abilene, TX 79601; Storage and delivery of business records, case files, and legal documents; President and 34% owner; Oversee business and sign tax returns; 11/01/1985; 6 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Dale Franklin Johnson JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dale Franklin Johnson JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 3, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 500 Chestnut Street Suite 1300, Abilene, TX 79602RIA
BD
CRD#: 793
Abilene, TX
Current
June 3, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 500 Chestnut Street Suite 1300, Abilene, TX 79602RIA
BD
CRD#: 793
Abilene, TX
Past
June 1, 2009 - June 10, 2020
MORGAN STANLEY
RIA
CRD#: 149777
ABILENE, TX
Past
June 1, 2009 - June 10, 2020
MORGAN STANLEY
BD
CRD#: 149777
ABILENE, TX
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ABILENE, TX
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ABILENE, TX
Past
March 16, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ABILENE, TX
Past
November 11, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ABILENE, TX
Past
November 30, 1998 - November 18, 2005
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ABILENE, TX
Past
September 9, 1987 - December 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 3, 1987 - January 3, 1989
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Past
January 31, 1986 - December 26, 1986
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Past
April 22, 1982 - November 15, 1984
SCHNEIDER, BERNET & HICKMAN, INC.
BD
CRD#: 750
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/3/2020)
RR
Arizona(6/21/2024)
RR
Arkansas(6/3/2020)
RR
California(6/3/2020)
RR
Colorado(7/23/2021)
RR
District of Columbia(6/3/2020)
RR
Florida(6/3/2020)
RR
Georgia(6/3/2020)
RR
Illinois(7/21/2020)
RR
Indiana(6/3/2020)
RR
Kansas(6/3/2020)
RR
Louisiana(7/30/2021)
RR
Massachusetts(4/4/2024)
RR
Michigan(6/3/2020)
RR
Minnesota(6/3/2020)
RR
Mississippi(6/3/2020)
RR
Missouri(6/3/2020)
RR
Nebraska(6/3/2020)
RR
Nevada(6/3/2020)
RR
New Hampshire(6/19/2024)
RR
New Jersey(6/3/2020)
RR
New Mexico(6/3/2020)
RR
New York(6/3/2020)
RR
North Carolina(6/3/2020)
RR
North Dakota(6/3/2020)
RR
Oklahoma(6/5/2020)
RR
Oregon(2/1/2024)
RR
Puerto Rico(6/3/2020)
RR
Rhode Island(6/3/2020)
RR
South Carolina(6/3/2020)
RR
South Dakota(6/3/2020)
RR
Tennessee(6/3/2020)
RR
Texas(6/3/2020)
IAR
Texas(6/3/2020)
RR
Utah(6/3/2020)
RR
Washington(6/3/2020)
RR
Wisconsin(6/3/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
