Michael B. 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.
Michael Brandon Johnson, who also goes by Michael B Johnson, Mike Johnson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
February 16, 2023 - April 26, 2023
RBC CAPITAL MARKETS, LLC
April 6, 2021 - January 4, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2019 - August 28, 2019
BEL AIR SECURITIES LLC
August 23, 2016 - October 11, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2016 - October 11, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2016 - July 6, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2016 - July 6, 2016
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2015 - December 14, 2015
RBC CAPITAL MARKETS, LLC
June 15, 2015 - December 14, 2015
RBC CAPITAL MARKETS, LLC
October 22, 2014 - June 16, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2014 - June 16, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2014 - August 5, 2014
MORGAN STANLEY
June 27, 2014 - August 5, 2014
MORGAN STANLEY
May 17, 2013 - April 16, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2013 - April 16, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 2010 - June 7, 2013
MORGAN STANLEY
November 4, 2010 - June 7, 2013
MORGAN STANLEY
October 31, 2007 - October 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2007 - October 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2005 - April 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2000 - February 3, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
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
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
