Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Johnson is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since 1986 and is registered with the Financial Industry Regulatory Authority (FINRA). Richard specializes in providing investment advisory services to individuals, corporations, and other businesses. Richard also provides financial planning services to individuals, including retirement planning, college savings planning, and estate planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
01/09/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TUCSON AZ)
NJ
03/07/1986 - 10/08/2003
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 10/16/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/06/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/03/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/21/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 03/21/1996
Series 24 - General Securities Principal Examination
BC
Issued 12/01/1987
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/19/1995
Series 7 - General Securities Representative Examination
BC
Issued 03/06/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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