Edward 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.
Edward Douglas Johnson JR, who also goes by Doug Johnson, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1967. Edward had worked at 2 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 79TO, SIE, Series 1, Series 24, Series 4, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 1987 - September 3, 2024
JOHNSON RICE & COMPANY L.L.C.
December 11, 1967 - June 3, 1987
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 12/9/1967
Registered Representative ExaminationSeries 40
Date: 5/8/1971
Registered Principal ExaminationCurrent Firm
JOHNSON RICE & COMPANY L.L.C.
CRD#: 19524 / SEC#: , 8-37567
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARBONNET, JOSEPH STOREY | MEMBER/SALES MANAGER | 2456551 |
| CULICCHIA, LEONARD PETER | MEMBER | 1912845 |
| CUMMINGS, JOSHUA CRAIG | MEMBER/HEAD OF CORPORATE FINANCE | 2971569 |
| NALTY, MORGAN SHAW | MEMBER | 1849366 |
| ROWAN, JOHN FORNEY JR | MEMBER | 2262387 |
| SHERIDAN, MARK | MEMBER | 2316138 |
| VARISCO JR, PAUL JOSEPH | MEMBER | 4376671 |
| VARISCO, VINNIE RAMEL | MEMBER/HEAD OF TRADING | 2707435 |
| CUMMINGS, CLAYTON PAUL | MEMBER | 4897142 |
| GREEN, GEORGE ROBBERT | MEMBER | 1090141 |
| GUNDLACH, MARK LEWIS | MEMBER | 3100859 |
| MALLOY, MARTIN WHITTIER | MEMBER/HEAD OF RESEARCH/CHIEF FINANCIAL OFFICER | 2423461 |
| MARCOTTE, BRIAN TROY | CHIEF COMPLIANCE OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 1182101 |
| MEADE, CHARLES ARTHUR | MEMBER | 5587028 |
| SEREMET, JOSEPH JOHN III | MEMBER | 4990513 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 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.
