Robal H. 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.
Robal Harvey Johnson, who also goes by Robal H Johnson, was a registered financial professional .
Robal is a previously registered financial professional and started their career in finance in 1978. Robal had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2016 - October 13, 2017
SECURIAN FINANCIAL SERVICES, INC.
January 19, 2016 - October 13, 2017
SECURIAN FINANCIAL SERVICES, INC.
August 18, 2015 - January 8, 2016
DAVID LERNER ASSOCIATES, INC.
May 20, 2013 - June 24, 2014
G-2 TRADING,LLC
May 6, 2006 - January 8, 2008
OPUS TRADING FUND LLC
March 6, 2000 - November 23, 2005
ELECTRONIC TRADING GROUP, LLC
April 9, 1998 - March 7, 2000
PERSHING LLC
February 21, 1997 - May 7, 1998
HSBC SECURITIES (USA) INC.
December 11, 1994 - February 24, 1997
UBS FINANCIAL SERVICES INC.
March 16, 1989 - December 5, 1994
KIDDER, PEABODY & CO. INCORPORATED
August 20, 1980 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
August 15, 1980 - May 12, 1987
UBS FINANCIAL SERVICES INC.
January 31, 1980 - June 12, 1980
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 31, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
April 4, 1979 - November 1, 1979
PERSHING LLC
September 26, 1978 - April 13, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1978 - April 13, 1979
WHITE, WELD & CO. INCORPORATED
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
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
