Robert C. Johnson
Professional summary
Robert Craig Johnson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Robert had worked at 6 firms, which includes MSI FINANCIAL SERVICES INC., FM PARTNERS HOLDINGS LLC, GRUNTAL & CO. L.L.C., UBS FINANCIAL SERVICES INC., SHELBY CULLOM DAVIS & CO. L.P., REFCO SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2007 - June 6, 2008
MSI FINANCIAL SERVICES, INC.
May 19, 2006 - March 5, 2007
FM PARTNERS HOLDINGS LLC
October 13, 1998 - March 26, 1999
GRUNTAL & CO., L.L.C.
January 22, 1998 - September 2, 1998
UBS FINANCIAL SERVICES INC.
March 30, 1989 - October 8, 1997
SHELBY CULLOM DAVIS & CO., L.P.
October 6, 1988 - March 7, 1989
REFCO SECURITIES, 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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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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