Robert H. 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.
Robert Henry Johnson was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1966. Robert had worked at 8 firms and has passed the Series 63, SIE, PC, Series 1 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
September 22, 2008 - August 25, 2015
RAFFERTY CAPITAL MARKETS, LLC
February 21, 2003 - August 4, 2008
FIRST DOMINION CAPITAL CORP.
January 6, 1993 - October 4, 2002
CANACCORD GENUITY LLC
October 25, 1991 - August 6, 1992
CREDIT AGRICOLE SECURITIES (USA) INC.
June 14, 1990 - May 2, 1991
BARCLAYS DE ZOETE WEDD INCORPORATED
September 5, 1989 - June 6, 1990
DEUTSCHE BANK CAPITAL CORPORATION
December 12, 1977 - May 16, 1989
CREDIT SUISSE SECURITIES (USA) LLC
January 18, 1966 - December 26, 1977
WOOD, STRUTHERS & WINTHROP 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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/16/1962
Registered Representative ExaminationSeries 40
Date: 8/9/1975
Registered Principal ExaminationCurrent Firm
RAFFERTY CAPITAL MARKETS, LLC
CRD#: 23682 / SEC#: , 8-40605
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAFFERTY HOLDINGS, LLC | DIRECT OWNER | |
| HAY, KATHLEEN RAFFERTY | PRESIDENT | 5045127 |
| GOODE, JACQUELINE MARIE | FINOP | 1292607 |
| GOODE, JACQUELINE MARIE | PRINCIPAL FINANCIAL OFFICER | 1292607 |
| JAMES, SHARI | CFO | 7516372 |
| MARTENS, BARBARA LAUDISI | PRINCIPAL OPERATIONS OFFICER | 2992393 |
| MARTENS, BARBARA LAUDISI | CHIEF COMPLIANCE OFFICER | 2992393 |
Disclosures
| Regulatory Event | 6 |
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.
