Richard A. Johnson
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 Allan Johnson, who also goes by Richard Allan Johnson II, Richard Johnson Ii, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 17 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2012 - December 16, 2013
BMA SECURITIES, LLC
August 30, 2010 - October 25, 2012
CAVU SECURITIES LLC
April 11, 2008 - August 21, 2008
WESTCAP SECURITIES, INC.
July 9, 2007 - April 7, 2008
J.P. TURNER & COMPANY, L.L.C.
December 5, 2005 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
March 6, 2002 - December 2, 2005
THE SEIDLER COMPANIES INCORPORATED
May 11, 1998 - March 21, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 10, 1995 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
February 17, 1994 - April 28, 1995
PRUDENTIAL EQUITY GROUP, LLC
December 10, 1993 - February 3, 1994
J.P. MORGAN SECURITIES LLC
September 13, 1990 - December 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 1989 - September 1, 1989
BOETTCHER & COMPANY, INC.
April 1, 1987 - September 28, 1988
ADVANTAGE CAPITAL CORPORATION
November 4, 1986 - April 8, 1987
THOMSON MCKINNON SECURITIES INC.
April 23, 1985 - October 7, 1986
E. F. HUTTON & COMPANY INC
August 28, 1984 - July 26, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 28, 1984 - July 26, 1985
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
BMA SECURITIES, LLC
CRD#: 108219 / SEC#: , 8-53073
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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