Richard C. 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.
Richard Clayton Johnson was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1979. Richard had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2007 - June 4, 2012
JOHNSON STRATEGIC INVESTMENT ADVISORS, LLC
October 31, 2006 - March 20, 2007
JOHNSON STRATEGIC INVESTMENT ADVISORS, LLC
October 11, 2005 - May 1, 2006
JOHNSON INVESTMENT GROUP, LLC
September 17, 1999 - March 6, 2012
FIRST ALLIED SECURITIES, INC.
December 26, 1979 - September 27, 1999
EDWARD JONES
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
Series 8
Date: 5/11/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JOHNSON STRATEGIC INVESTMENT ADVISORS, LLC
CRD#: 139700 / SEC#: 801-66745
Contact information
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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