Richard C. Johns
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.
Richard Charles Johns, who also goes by Dick Johns, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 1999 - February 14, 2001
AMERICAN PACIFIC SECURITIES, INC.
July 11, 1996 - January 7, 1997
AMERICAN PACIFIC SECURITIES, INC.
February 7, 1995 - July 16, 1996
EQUITY PROGRAMS CORPORATION
October 28, 1994 - January 31, 1995
J. A. OVERTON & CO., 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
Current Firm
AMERICAN PACIFIC SECURITIES, INC.
CRD#: 2532 / SEC#: , 8-4763
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
