Stacy D. 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.
Stacy Dean Johnson, who also goes by Stacy D Johnson, Stacy Dean Johnson, Stacy Johnson, was a registered financial professional .
Stacy is a previously registered financial professional and started their career in finance in 1993. Stacy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2017 - December 26, 2024
RAYMOND JAMES & ASSOCIATES, INC.
November 28, 2017 - December 26, 2024
RAYMOND JAMES & ASSOCIATES, INC.
March 25, 2017 - August 25, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - August 25, 2017
MML INVESTORS SERVICES, LLC
September 25, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
August 27, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
August 27, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
June 1, 2009 - August 5, 2014
MORGAN STANLEY
June 1, 2009 - August 5, 2014
MORGAN STANLEY
July 20, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 19, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 1, 2000 - July 24, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - July 24, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 29, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 3, 1995 - June 22, 1999
CHARLES SCHWAB & CO., INC.
October 18, 1993 - January 18, 1994
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 8
Date: 4/14/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
