David C. 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.
David Christopher Johnson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2017 - March 19, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 28, 2017 - March 19, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 1, 2013 - February 28, 2017
CITY SECURITIES CORPORATION
June 7, 2013 - February 28, 2017
CITY SECURITIES CORPORATION
November 13, 2009 - June 11, 2013
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - June 11, 2013
PNC WEALTH MANAGEMENT LLC
September 20, 2000 - November 13, 2009
NATCITY INVESTMENTS, INC.
March 30, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - April 2, 1999
IFMG SECURITIES, INC.
May 14, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
March 9, 1998 - November 13, 2009
NATCITY INVESTMENTS, INC.
August 14, 1995 - March 23, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 14, 1995 - March 23, 1998
OSAIC FA, INC.
March 4, 1994 - August 16, 1995
CUNA BROKERAGE SERVICES, INC.
November 13, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 13, 1989 - December 24, 1993
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
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
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 180 |
| Civil Event | 2 |
| Arbitration | 61 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
