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RJ

Richard Johnson

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CRD#: 1133448
RJ

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Johnson, who also goes by Rick Johnson, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 15, 2012 - June 2, 2020

EMERGING GROWTH EQUITIES, LTD.

BD
CRD#: 47040
KING OF PRUSSIA, PA
Past

June 2, 2005 - August 27, 2012

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past

March 7, 2000 - June 6, 2005

EGE ADVISORS, LTD.

RIA
CRD#: 113625
KING OF PRUSSIA, PA
Past

October 8, 1999 - June 6, 2005

EMERGING GROWTH EQUITIES, LTD.

BD
CRD#: 47040
BRYN MAWR, PA
Past

July 14, 1997 - September 8, 1999

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past

October 1, 1987 - July 14, 1997

INVESTEC INC.

BD
CRD#: 18553
NEW YORK, NY
Past

September 4, 1985 - September 24, 1987

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Past

August 14, 1984 - August 29, 1985

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

June 22, 1983 - June 30, 1984

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621
Past

June 22, 1983 - April 6, 1987

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/5/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/12/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/29/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/29/2024
General Securities Principal Examination

Current Firm

EG
EMERGING GROWTH EQUITIES, LTD.
EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040 / SEC#: , 8-51642

BD
Terminated by SEC on 03/05/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 01/26/1999
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
EGE HOLDINGS, LTD.LIMITED PARTNER
BERLACHER, GREGORY JOSEPHCEO1929689
CORKERY, COLLEEN JANEFINANCIAL AND OPERATIONS PRINCIPAL4818898
EGE SPECIAL PURPOSE CORP.GENERAL PARTNER
SEID, JAY DAVIDCHIEF COMPLIANCE OFFICER4809707

Disclosures

Regulatory Event1

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.

Company Information

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040

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