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GJ

Gordon Kendley Johnson

CRD# 872985·Registered 1979 - 2012
Previously Registered: Being a previously registered professional could mean that Gordon 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

Gordon Kendley Johnson, who also goes by Rusty Johnson, was a registered financial advisor. Gordon was a previously registered financial professional and started their career in finance 1979 - 2012. Gordon had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 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

Rusty Johnson

Blog Corner

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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

RODMAN & RENSHAW, LLC·CRD# 16415
BD
New York, NY
August 18, 2011 - June 29, 2012
PIPER SANDLER & CO.·CRD# 665
BD
New York, NY
September 14, 2007 - April 28, 2011
W.R. HAMBRECHT + CO., LLC·CRD# 45040
BD
New York, NY
May 22, 2002 - September 12, 2007
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
New York, NY
July 20, 1992 - January 31, 2001
INTESA SANPAOLO IMI SECURITIES CORP.·CRD# 19418
BD
New York, NY
October 10, 1991 - July 20, 1992
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
New York, NY
June 3, 1983 - April 5, 1991
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
October 24, 1979 - June 3, 1983

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Current Firm

R&
RODMAN & RENSHAW, LLC

CANTOR CAPITAL CORP. | RODMAN & RENSHAW, LLC | RODMAN & RENSHAW, INC.

CRD#: 16415 / SEC#: 8-33862
BD
Terminated by SEC on 11/13/2012

Contact Information

Established

Delaware since 06/20/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DIRECT MARKETS HOLDING CORP.100 % OWNER—
HECHLER, RANDY JAYCHIEF COMPLIANCE OFFICER2292597
HORIN, DAVID JAYCHIEF FINANCIAL OFFICER4655861
RUBIN, EDWARDDIRECTOR4121597
RUBIN, EDWARDCHIEF EXECUTIVE OFFICER - EXECUTIVE REPRESENTATIVE4121597

Disclosures

Regulatory Event

4

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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 63 — Uniform Securities Agent State Law Examination

Passed Dec 1979About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1979About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2006About the Series 24 exam

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CRS (Client Relationship Summary)

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

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