SJ
Susan M. Johnson
RBC CAPITAL MARKETS
Tempe, AZ
Some features on this profile are disabled
CRD#: 724423
SJ
Professional summary
Susan Marie Johnson, who also goes by Su Boyd, Susan M Boyd, Susan Marie Boyd, Susan Boyd, Su Johnson, Susan M Johnson, Susan Johnson, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Tempe, Arizona.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Susan has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Su Boyd | Susan M Boyd | Susan Marie Boyd | Susan Boyd | Su Johnson | Susan M Johnson | Susan Johnson
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.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Marie Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Marie Johnson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 21, 2016 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467RIA
BD
CRD#: 31194
Tempe, AZ
Current
June 21, 2016 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467RIA
BD
CRD#: 31194
Phoenix, AZ
Past
November 21, 2015 - June 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHANDLER, AZ
Past
October 19, 2015 - June 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHANDLER, AZ
Past
September 4, 2013 - October 8, 2015
BBVA SECURITIES INC.
BD
CRD#: 27060
CHANDLER, AZ
Past
October 1, 2012 - June 18, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PHOENIX, AZ
Past
September 18, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PHOENIX, AZ
Past
July 11, 1997 - August 8, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 19, 1996 - September 12, 1996
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
May 18, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
BD
CRD#: 17101
Past
June 10, 1993 - May 22, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
May 28, 1992 - May 25, 1993
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
September 2, 1986 - May 20, 1992
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
BD
CRD#: 17738
Past
November 29, 1982 - December 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
February 23, 1981 - October 25, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/21/2016)
RR
Alaska(6/21/2016)
RR
Arizona(6/21/2016)
IAR
Arizona(7/11/2016)
RR
Arkansas(6/21/2016)
RR
California(6/21/2016)
RR
Colorado(6/21/2016)
RR
Connecticut(6/21/2016)
RR
Delaware(6/21/2016)
RR
Florida(6/21/2016)
RR
Georgia(6/21/2016)
RR
Hawaii(10/24/2016)
RR
Idaho(6/21/2016)
RR
Illinois(6/21/2016)
RR
Indiana(10/24/2016)
RR
Iowa(6/21/2016)
RR
Kansas(6/21/2016)
RR
Kentucky(6/21/2016)
RR
Louisiana(6/21/2016)
RR
Maine(10/24/2016)
RR
Maryland(6/21/2016)
RR
Massachusetts(6/21/2016)
RR
Michigan(6/21/2016)
RR
Minnesota(6/21/2016)
RR
Mississippi(10/24/2016)
RR
Missouri(6/21/2016)
RR
Montana(6/21/2016)
RR
Nebraska(6/21/2016)
RR
Nevada(6/21/2016)
RR
New Hampshire(6/21/2016)
RR
New Jersey(6/21/2016)
RR
New Mexico(6/21/2016)
RR
New York(6/21/2016)
RR
North Carolina(6/21/2016)
RR
North Dakota(6/21/2016)
RR
Ohio(6/21/2016)
RR
Oklahoma(6/21/2016)
RR
Oregon(6/21/2016)
RR
Pennsylvania(6/21/2016)
RR
Puerto Rico(6/21/2016)
RR
Rhode Island(6/21/2016)
RR
South Carolina(6/21/2016)
RR
South Dakota(6/21/2016)
RR
Tennessee(6/21/2016)
RR
Texas(6/21/2016)
IAR
Texas(6/21/2016)
RR
Utah(6/21/2016)
RR
Vermont(6/21/2016)
RR
Virgin Islands(6/21/2016)
IAR
Virgin Islands(7/25/2016)
RR
Virginia(6/21/2016)
RR
Washington(6/21/2016)
RR
West Virginia(6/21/2016)
RR
Wisconsin(6/21/2016)
RR
Wyoming(6/21/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
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.
