Gordon K. 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.
Gordon Kendley Johnson, who also goes by Rusty Johnson, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1979. Gordon had worked at 7 firms and has passed the Series 63, 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
August 18, 2011 - June 29, 2012
RODMAN & RENSHAW, LLC
September 14, 2007 - April 28, 2011
PIPER SANDLER & CO.
May 22, 2002 - September 12, 2007
W.R. HAMBRECHT + CO., LLC
July 20, 1992 - January 31, 2001
DEUTSCHE BANK SECURITIES INC.
October 10, 1991 - July 20, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
June 3, 1983 - April 5, 1991
KIDDER, PEABODY & CO. INCORPORATED
October 24, 1979 - June 3, 1983
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Current Firm
RODMAN & RENSHAW, LLC
CRD#: 16415 / SEC#: , 8-33862
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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