Richard M. 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 Mark Johnson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 15 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2016 - April 1, 2021
MERCURY CAPITAL ADVISORS, LLC
March 16, 2015 - May 25, 2016
CAMPBELL FINANCIAL SERVICES, LLC
May 7, 2012 - February 26, 2015
TOD'S POINT CAPITAL LLC
March 2, 2009 - May 14, 2012
CREDIT SUISSE SECURITIES (USA) LLC
August 15, 2006 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
March 13, 2003 - March 30, 2006
NORTHEAST SECURITIES, LLC
January 13, 2003 - November 21, 2003
SCIUS SECURITIES LLC
July 1, 1998 - March 8, 2001
ABN AMRO SECURITIES LLC
November 6, 1995 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
January 12, 1995 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
July 13, 1993 - January 12, 1995
CHASE SECURITIES, INC.
March 25, 1992 - June 29, 1993
NOMURA SECURITIES INTERNATIONAL, INC.
January 18, 1990 - November 18, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
December 1, 1987 - July 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
November 18, 1986 - November 10, 1987
SALOMON BROTHERS INC.
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
Series 7TO
Date: 3/20/2024
General Securities Representative ExaminationSeries 8
Date: 6/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERCURY CAPITAL ADVISORS, LLC
CRD#: 152338 / SEC#: , 8-68442
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Financial | 1 |
Red Flags
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