Richard B. Johnson
Professional summary
Richard Bradley Johnson, who also goes by Richard Johnson, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Scottsdale, Arizona and SANFORD C. BERNSTEIN & CO., LLC located in Scottsdale, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Richard has worked at 2 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Bradley Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2003 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 7150 E. Camelback Road Suite 444, Scottsdale, AZ 85251June 16, 2003 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 7150 E. Camelback Road Suite 444, Scottsdale, AZ 85251Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/2/2003)
(8/13/2013)
(6/23/2003)
(6/13/2007)
(3/3/2025)
(6/8/2004)
(6/8/2004)
(9/25/2013)
(12/8/2021)
(7/28/2008)
(7/1/2004)
(3/18/2025)
(1/5/2016)
(6/20/2011)
(9/17/2021)
(4/30/2018)
(7/1/2004)
(7/29/2024)
(6/4/2008)
(11/28/2006)
(11/8/2005)
(5/7/2021)
(11/14/2008)
(6/22/2006)
(6/28/2006)
(3/30/2020)
(3/26/2021)
(7/11/2025)
(2/10/2020)
(10/19/2004)
(10/21/2013)
(8/13/2009)
(3/3/2025)
(7/1/2004)
(10/23/2007)
(7/1/2024)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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