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PJ

Paul E. Johnson

Some features on this profile are disabled
CRD#: 1319791
PJ

Professional summary

Paul Ernest Johnson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Paul had worked at 4 firms, which includes ROBERTSON STEPHENS INC., BANCAMERICA SECURITIES INC., ROBERTSON STEPHENS & COMPANY LLC, CREDIT SUISSE SECURITIES (USA) LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 1, 1998 - September 17, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

October 1, 1997 - September 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

May 9, 1994 - October 1, 1997

ROBERTSON, STEPHENS & COMPANY LLC

BD
CRD#: 7730
SAN FRANCISCO, CA
Past

December 22, 1993 - April 19, 1994

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
RR
Series 63
Date: 12/28/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 2/23/1994
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/1993
General Securities Representative Examination

Current Firm

RS
ROBERTSON STEPHENS, INC.
BANCBOSTON ROBERTSON STEPHENS INC. | ROBERTSON STEPHENS, INC. | FLEETBOSTON ROBERTSON STEPHENS INC. | BANCBOSTON SECURITIES INC.

CRD#: 41271 / SEC#: , 8-49390

BD
Terminated by SEC on 01/15/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 05/14/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ROBERTSON STEPHENS U.S. HOLDINGS, INC.DIRECT OWNER
BRUNO, SUSAN ACHIEF FINANCIAL OFFICER, FINOP4243060
MULCAHY, VINCENT VALENTINECHIEF EXECUTIVE OFFICER, DIRECTOR1664737
STONE, CLIFTON DAVIDDIRECTOR OF COMPLIANCE3024466
WRIGHT, JEFFREY DYERCROP AND SROP2730852

Disclosures

Regulatory Event20
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

ROBERTSON STEPHENS, INC.

CRD#: 41271

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