Robert C. Johnson

COMMONWEALTH AUSTRALIA SECURITIES LLC

New York, NY 10022

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CRD#: 3065361

Professional summary

Robert Conrad Johnson is a registered financial professional currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Conrad Johnson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 8, 2020 - Present

COMMONWEALTH AUSTRALIA SECURITIES LLC

Office #1: 599 Lexington Avenue 30th Fl, New York, NY 10022

CRD#: 136321

New York, NY

Past

October 9, 2007 - May 1, 2019

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

March 7, 2002 - October 11, 2007

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 20, 2000 - February 14, 2001

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

July 27, 1999 - January 28, 2000

JPMSI

CRD#: 15733

NEW YORK, NY

Past

June 29, 1998 - December 2, 1998

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(10/8/2020)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/25/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

COMMONWEALTH AUSTRALIA SECURITIES LLC

COMMONWEALTH AUSTRALIA SECURITIES LLC | COMMSEC LLC

CRD#: 136321 / SEC#: , 8-66998

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

599 Lexington Avenue 30th Fl, New York, NY 10022

Mailing Address

599 Lexington Avenue 30th Fl, New York, NY 10022

Phone number

(212) 848-9200

Established

Delaware since 05/10/2005

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
COMMONWEALTH BANK 0F AUSTRALIA	SOLE MEMBER
FELDMAN, RICHARD MARK	PFO	2273453
LAWRENCE, LARRY O	CEO	4237420
POULTON, JAYSON ALAN	CFO & POO	6738733
VARALLI MCCLELLAND, ANN LOUISE	PRINCIPAL - FIXED INCOME	1043191
WALSH, PAUL ROBERT	CHIEF COMPLIANCE OFFICER	3189041
WINTERS, JENNIFER	ANTI-MONEY LAUNDERING COMPLIANCE OFFICER	2604316

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Robert C. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Conrad Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BNP PARIBAS SECURITIES CORP.

J.P. MORGAN SECURITIES INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMSI

WORLDCO, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/1999

Series 63

Date: 10/11/1999

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/25/1998

Series 24

Date: 11/7/2017

FINRA

Current Firm

COMMONWEALTH AUSTRALIA SECURITIES LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COMMONWEALTH AUSTRALIA SECURITIES LLC

TRUST BUT VERIFY

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