Richard J. Johnson
Professional summary
Richard Joseph Johnson, who also goes by Joey Johnson, is a registered financial advisor currently at ZIONS CAPITAL ADVISORS, INC. located in Salt Lake City, Utah and ZIONS DIRECT, INC. located in Salt Lake City, Utah.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2020 - Present
ZIONS CAPITAL ADVISORS, INC.
Office #1: Zions Capital Advisors One South Main St. 12th Floor, Salt Lake City, UT, 84133January 3, 2020 - Present
ZIONS DIRECT, INC.
Office #1: One South Main St., Salt Lake City, UT 84133April 27, 2018 - February 10, 2020
ALPINE SECURITIES CORPORATION
July 1, 2014 - April 23, 2018
MORGAN STANLEY
July 1, 2014 - April 23, 2018
MORGAN STANLEY
January 3, 2011 - June 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 26, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308 / SEC#: 801-63287
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2020)
(1/6/2020)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308 / SEC#: 801-63287
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 1,460,957,454 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/11/2025 | ||
| 02/26/2024 | ||
| 02/21/2023 |
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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Company Information
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308Salt Lake City, UT 84133TRUST BUT VERIFY
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