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RJ

Rodney Guy Johnson

CRD# 1708644·Registered 1987 - 2010
Previously Registered: Being a previously registered professional could mean that Rodney 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.

Professional Summary

Rodney Guy Johnson was a registered financial advisor. Rodney was a previously registered financial professional and started their career in finance 1987 - 2010. Rodney had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 27, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

CLEAR SPRINGS ADVISORS, LLC·CRD# 147407
RIA
Tampa, FL
July 10, 2008 - September 30, 2010
SAMCO FINANCIAL SERVICES, INC.·CRD# 30108
BD
Phoenix, AZ
March 1, 2005 - January 23, 2006
H.S. DENT INVESTMENT MANAGEMENT, LLC·CRD# 127025
RIA
Tampa, FL
March 1, 2004 - December 31, 2012
BAIRD MANAGEMENT CORPORATION·CRD# 45556
BD
Irving, TX
June 21, 2001 - December 31, 2003
HERITAGE SECURITIES CORPORATION·CRD# 30211
BD
Addison, TX
November 6, 1998 - December 6, 1999
HERITAGE INVESTMENTS, L.L.C.·CRD# 37692
BD
Dallas, TX
November 6, 1998 - December 6, 1999
MUTUALS.COM, INC.·CRD# 36525
BD
Dallas, TX
March 7, 1997 - November 3, 1998
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
December 20, 1989 - March 10, 1997
THOMSON MCKINNON SECURITIES INC.·CRD# 829
BD
New York, NY
August 9, 1988 - October 12, 1989
HALLIBURTON & ASSOCIATES, INC.·CRD# 7396
BD
July 22, 1987 - April 7, 1988

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2004About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1990About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Apr 2005About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jul 1987About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Dec 1998About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed Nov 1998About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Nov 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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