Ralph W. 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.
Ralph Winston Johnson, who also goes by Ralph W Johnson, Ralph Johnson, was a registered financial advisor .
Ralph is a previously registered financial advisor and started their career in finance in 1989. Ralph had worked at 5 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2005 - May 15, 2006
RMIN SECURITIES, INC.
June 21, 2004 - February 15, 2005
MML INVESTORS SERVICES, LLC
May 18, 2004 - February 15, 2005
MML INVESTORS SERVICES, LLC
July 29, 1999 - January 22, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1992 - July 27, 1999
A. G. EDWARDS & SONS, INC.
July 13, 1989 - January 22, 1992
MORGAN STANLEY DW 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
Current Firm
RMIN SECURITIES, INC.
CRD#: 47274 / SEC#: , 8-51724
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
