David R. Johnson

FROST INVESTMENT SERVICES

CORPUS CHRISTI, TX 78412

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CRD#: 1801957

Professional summary

David Robert Johnson, who also goes by Dave Johnson, David R Johnson, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Corpus Christi, Texas and FROST BROKERAGE SERVICES, INC. located in Corpus Christi, Texas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Johnson | David R Johnson

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Johnson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 26, 2022 - Present

FROST INVESTMENT SERVICES

Office #1: 7444 S Padre Island Dr, Corpus Christi, TX 78412

RIA

CRD#: 286129

CORPUS CHRISTI, TX

Current

August 16, 1996 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 7444 S Padre Island Dr, Corpus Christi, TX 78412

CRD#: 17465

CORPUS CHRISTI, TX

Past

November 30, 2017 - December 31, 2021

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

CORPUS CHRISTI, TX

Past

April 28, 1993 - July 16, 1996

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

June 30, 1992 - March 26, 1993

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

March 30, 1989 - November 8, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 11, 1988 - April 11, 1989

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(2/21/2023)

Hawaii
(6/13/2022)

Indiana
(6/4/2025)

Kansas
(1/11/2024)

Massachusetts
(9/19/2012)

Nevada
(1/11/2024)

New Mexico
(7/1/2024)

South Carolina
(1/3/2017)

Tennessee
(3/1/2023)

Texas
(8/19/1996)

IAR

Texas
(1/26/2022)

Utah
(1/11/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/30/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/4/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 2,976,654,932

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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David R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

FROST INVESTMENT SERVICES

ESSEX NATIONAL SECURITIES, LLC

MARKETING ONE SECURITIES, INC.

MORGAN STANLEY DW INC.

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2017

Series 63

Date: 4/4/1988

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1988

FINRA

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

Contact information

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