Roger D. 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.
Roger Dean Johnson was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1985. Roger had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - June 19, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - June 19, 2014
J.P. MORGAN SECURITIES LLC
March 8, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 27, 2006 - October 13, 2006
J.P. MORGAN SECURITIES INC.
July 26, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 1, 2002 - September 27, 2006
BANC ONE SECURITIES CORPORATION
June 14, 1995 - July 27, 2006
BANC ONE SECURITIES CORPORATION
August 17, 1993 - October 26, 1994
BANC ONE SECURITIES CORPORATION
February 12, 1992 - August 24, 1993
SEI INVESTMENTS DISTRIBUTION CO.
April 3, 1990 - October 11, 1991
INVEST FINANCIAL CORPORATION
August 23, 1989 - March 31, 1990
AMERIPRISE ADVISOR SERVICES, INC.
January 31, 1986 - July 27, 1989
FIFTH THIRD SECURITIES, INC.
March 23, 1985 - February 5, 1986
BLUNT ELLIS & LOEWI INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
