Robert J. Johnsen
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.
Robert Joseph Johnsen, who also goes by Bob Johnsen, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 3 firms and has passed the Series 63, SIE, Series 82, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2018 - November 15, 2024
MID-MARKET SECURITIES, LLC
August 14, 1997 - December 31, 1997
RAUSCHER PIERCE REFSNES, INC.
April 2, 1992 - December 6, 1993
CREDIT AGRICOLE SECURITIES 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
Series 62
Date: 9/18/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
MID-MARKET SECURITIES, LLC
CRD#: 126750 / SEC#: , 8-65905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIEN, ROBERT WILLIAM | PRESIDENT & CEO/GSP/CCO/FINOP | 2289694 |
Disclosures
| Regulatory Event | 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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