Rick F. 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.
Rick Farrell Johnson, who also goes by Rick F Johnson, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1987. Rick had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 22 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
October 9, 2014 - December 31, 2022
VANTAGE POINT INVESTMENTS, INC.
February 9, 2002 - October 8, 2014
PARKLAND SECURITIES, LLC
February 8, 2002 - October 8, 2014
SPC
March 31, 2000 - February 9, 2002
WALNUT STREET SECURITIES, INC.
February 16, 2000 - April 3, 2000
CETERA WEALTH SERVICES, LLC
August 24, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
August 24, 1987 - March 14, 2000
MML INVESTORS SERVICES, LLC
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
VANTAGE POINT INVESTMENTS, INC.
CRD#: 156887 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 222 |
| AUM (Assets Under Management) | $ 34,543,673 |
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.
