RJ
Robert C. Johnston
MESIROW FINANCIAL
Southlake, TX
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CRD#: 3178946
RJ
Professional summary
Robert Carl Johnston is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Southlake, Texas.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 8 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert Carl Johnston'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®
NoneExperience
Current
April 28, 2023 - Present
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
Southlake, TX
Past
June 16, 2014 - May 1, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DALLAS, TX
Past
April 2, 2012 - June 5, 2014
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MEMPHIS, TN
Past
June 1, 2010 - April 2, 2012
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
September 9, 2008 - May 13, 2010
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
LITTLE ROCK, AR
Past
July 1, 2003 - November 19, 2007
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
March 28, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 1, 1999 - August 29, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 17, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(5/1/2023)
RR
Alaska(5/1/2023)
RR
Arizona(5/1/2023)
RR
Arkansas(5/1/2023)
RR
California(5/1/2023)
RR
Colorado(5/1/2023)
RR
Connecticut(5/1/2023)
RR
Delaware(5/1/2023)
RR
District of Columbia(5/1/2023)
RR
Florida(5/1/2023)
RR
Georgia(5/1/2023)
RR
Hawaii(5/1/2023)
RR
Idaho(5/1/2023)
RR
Illinois(4/28/2023)
RR
Indiana(5/1/2023)
RR
Iowa(5/1/2023)
RR
Kansas(5/1/2023)
RR
Kentucky(5/1/2023)
RR
Louisiana(5/1/2023)
RR
Maine(5/1/2023)
RR
Maryland(5/1/2023)
RR
Massachusetts(5/1/2023)
RR
Michigan(5/1/2023)
RR
Minnesota(5/1/2023)
RR
Mississippi(5/1/2023)
RR
Missouri(5/1/2023)
RR
Montana(5/1/2023)
RR
Nebraska(5/1/2023)
RR
Nevada(5/1/2023)
RR
New Hampshire(5/1/2023)
RR
New Jersey(5/1/2023)
RR
New Mexico(5/1/2023)
RR
New York(4/28/2023)
RR
North Carolina(5/1/2023)
RR
North Dakota(5/1/2023)
RR
Ohio(5/1/2023)
RR
Oklahoma(5/1/2023)
RR
Oregon(5/1/2023)
RR
Pennsylvania(5/1/2023)
RR
Puerto Rico(5/1/2023)
RR
Rhode Island(5/1/2023)
RR
South Carolina(5/1/2023)
RR
South Dakota(5/1/2023)
RR
Tennessee(5/1/2023)
RR
Texas(4/28/2023)
RR
Utah(5/1/2023)
RR
Vermont(5/1/2023)
RR
Virgin Islands(5/1/2023)
RR
Virginia(5/1/2023)
RR
Washington(5/1/2023)
RR
West Virginia(5/1/2023)
RR
Wisconsin(5/1/2023)
RR
Wyoming(5/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MF
MESIROW FINANCIAL, INC.
MESIROW & COMPANY | PEMBROKE CLEARING CORPORATION | MESIROW FINANCIAL, INC. | MESIROW CAPITAL, INC. | MESIROW & COMPANY, INCORPORATED
CRD#: 2764 / SEC#: , 8-28816
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
353 N. Clark Street, Chicago, IL 60654
Mailing Address
353 N. Clark Street, Chicago, IL 60654
Phone number
(312) 595-6000
Established
Delaware since 10/12/1982
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
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.
