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RJ

Ronald Johnson

CRD# 872090·Registered 1994 - 2014
Previously Registered: Being a previously registered professional could mean that Ronald 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.

Professional Summary

Ronald Johnson, who also goes by Ronald H Johnson, Ronald Hans Johnson, was a registered financial advisor. Ronald was a previously registered financial professional and started their career in finance 1994 - 2014. Ronald had worked at 7 firms and has passed the Series 66, Series 63, Series 65, Series 7 and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ronald H Johnson, Ronald Hans Johnson

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

47 years in the financial services industry

Current & Past Employments

ESPOSITO PARTNERS, LLC·CRD# 147373
RIA
Dallas, TX
December 11, 2013 - June 16, 2014
ESPOSITO SECURITIES, LLC·CRD# 143710
BD
Dallas, TX
December 3, 2013 - June 16, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Bridgewater, NJ
October 10, 2012 - November 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Bridgewater, NJ
September 6, 2012 - November 19, 2013
PROTECTED INVESTORS OF AMERICA·CRD# 6082
BD
San Francisco, CA
May 4, 2011 - September 6, 2012
SAPENO INC.·CRD# 124769
BD
New York, NY
December 20, 2006 - November 19, 2007
FISHER INVESTMENTS·CRD# 107342
RIA
Somerset, NJ
November 17, 2003 - December 12, 2003
D.H. BLAIR INVESTMENT BANKING CORP.·CRD# 28502
BD
New York, NY
January 6, 1999 - February 28, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
April 20, 1994 - July 6, 1998

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Current Firm

EP
ESPOSITO PARTNERS, LLC

ESPOSITO PARTNERS, LLC

CRD#: 147373 / SEC#: 801-69223

Contact Information

Main Address

200 Crescent Court Suite 450, Dallas, TX 75201

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2012About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2011About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1997About the Series 65 exam

Series 7 — General Securities Representative Examination

Passed May 2011About the Series 7 exam

Series 1 — Registered Representative Examination

Passed Sep 1979

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CRS (Client Relationship Summary)

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

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