RJ
Roy D. Johnson
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CRD#: 2429985
RJ
Professional summary
Roy Dwane Johnson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roy is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Roy had worked at 2 firms, which includes RAYMOND JAMES & ASSOCIATES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dwane Johnson | Roy D Johnson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 2, 2007 - December 23, 2013
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
ASHLAND, KY
Past
March 2, 2007 - January 15, 2014
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ASHLAND, KY
Past
January 5, 1999 - March 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ASHLAND, KY
Past
December 10, 1993 - March 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ASHLAND, KY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 02/19/1969
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
13,966
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.
