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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 currently registered with Stifel, Nicolaus & Company, Inc. Richard has been in the financial services industry since 1972. Richard has a wide range of experience in the financial industry, having worked at several firms including Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Salomon Smith Barney Inc., Tucker Anthony Incorporated, and Kidder, Peabody & Co., Incorporated. Richard has a strong track record of success in providing financial advice and investment management services to individuals, businesses, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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
MA
02/05/2014 - Present
Stifel, Nicolaus & Company, Inc. (PLYMOUTH MA)
MA
06/01/2009 - 10/14/2009
MORGAN STANLEY SMITH BARNEY (BOSTON MA)
MA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
MA
08/11/2000 - 04/02/2007
MORGAN STANLEY DW INC. (BOSTON MA)
NY
04/25/1989 - 08/18/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NA
05/08/1978 - 04/24/1989
TUCKER ANTHONY INCORPORATED
NA
10/16/1972 - 06/08/1978
KIDDER, PEABODY & CO., INCORPORATED
IA
Issued 11/06/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/14/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/23/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/29/1981
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1982
Series 3 - National Commodity Futures Examination
BC
Issued 04/29/1981
PC - AMEX Put and Call Exam
BC
Issued 10/03/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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