Erik G. Johnson
Professional summary
Erik Gordon Johnson is a registered financial professional currently at CANACCORD GENUITY LLC located in Minneapolis, Minnesota.
Erik is registered as a RR (Registered Representative) and started their career in finance in 1991. Erik has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erik Gordon Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2016 - Present
CANACCORD GENUITY LLC
Office #1: Plaza Vii, Suite 2640 45 7th Street South, Minneapolis, MN 55402-1648February 29, 2008 - June 22, 2016
RBC CAPITAL MARKETS, LLC
February 6, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
August 13, 2001 - February 6, 2004
RBC CAPITAL MARKETS, LLC
November 27, 2000 - August 14, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 28, 1998 - October 17, 2000
GEORGE K. BAUM & COMPANY
March 2, 1998 - April 8, 1998
RBC CAPITAL MARKETS, LLC
July 23, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 1, 1994 - June 11, 1996
DEUTSCHE IXE, LLC
February 26, 1993 - March 1, 1994
IAI SECURITIES, INC.
January 9, 1992 - December 16, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 9, 1992 - December 31, 1992
ROBERT W. BAIRD & CO. INCORPORATED
August 12, 1991 - October 29, 1991
LINCOLN FINANCIAL DISTRIBUTORS, 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
(7/25/2016)
(7/25/2016)
(7/25/2016)
(7/25/2016)
(1/16/2020)
(1/16/2020)
(7/25/2016)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
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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