Richard S. Johnston
Professional summary
Richard Stacy Johnston, who also goes by Richard S Johnston, is a registered financial professional currently at MSC - BD, LLC located in Lake Oswego, Oregon.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1978. Richard has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 79, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Stacy Johnston's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2022 - Present
MSC - BD, LLC
Office #1: 5 Centerpointe Drive Suite. 400, Lake Oswego, OR 97035January 16, 2015 - May 9, 2016
MSC - BD, LLC
November 1, 2011 - April 22, 2014
MSC - BD, LLC
July 27, 2010 - November 17, 2010
HS & CO., INC.
June 9, 1993 - March 25, 1997
A. G. EDWARDS & SONS, INC.
January 16, 1992 - June 1, 1993
UBS FINANCIAL SERVICES INC.
September 4, 1990 - January 20, 1992
WELLS FARGO CLEARING SERVICES, LLC
May 11, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
June 11, 1988 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 3, 1983 - May 25, 1988
PRUDENTIAL EQUITY GROUP, LLC
February 13, 1980 - January 7, 1983
CIBC WORLD MARKETS CORP.
September 26, 1978 - February 15, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 79TO
Date: 9/9/2022
Investment Banking Registered Representative ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationFINRA
Current Firm
MSC - BD, LLC
CRD#: 142927 / SEC#: , 8-67511
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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