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RJ

Robert Johnson

Some features on this profile are disabled
CRD#: 7198766
RJ

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.

Robert Johnson was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2019. Robert had worked at 2 firms and has passed the Series 99TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 27, 2020 - April 1, 2022

WELLS FARGO PRIME SERVICES, LLC

BD
CRD#: 133068
SAN FRANCISCO, CA
Past

December 9, 2019 - April 1, 2022

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 12/9/2019
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/19/2019
Securities Industry Essentials Examination

Current Firm

WF
WELLS FARGO PRIME SERVICES, LLC
MERLIN SECURITIES, LLC | WELLS FARGO PRIME SERVICES, LLC | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING

CRD#: 133068 / SEC#: , 8-66677

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
333 Market Street, San Francisco, CA 94105
Mailing Address
333 Market Street, San Francisco, CA 94105
Phone number
(212) 822-4800
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EVEREN CAPITAL CORPORATIONOWNER
CONNOR, TIMOTHY MICHAELPRINCIPAL FINANCIAL OFFICER8157713
HALL, JEFFREYCHIEF OPERATIONS OFFICER5292396
KEARNS, WILLIAM JMANAGER2127701
LANGIS, DARREN JOSEPHMANAGER2781108
LEONE, JOHNMANAGER7164476
MCCOOEY, EAMON PATRICKCEO, PRESIDENT, MANAGER1762536
RILEY, MICHAEL FRANCISMANAGER4165280
YI, SCOTT HUNCHIEF COMPLIANCE OFFICER3152646

Disclosures

Regulatory Event4

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.

Company Information

WELLS FARGO PRIME SERVICES, LLC

CRD#: 133068

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