Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick V Johnson is a financial professional with over 20 years of experience in the industry. Rick is currently registered with Charles Schwab & CO., Inc. Rick holds a variety of licenses and qualifications including the Series 6, 7, 9, 10, 24, and 63. Rick has previously held positions with LaSalle Financial Services, Inc. and American Express Financial Advisors Inc. Rick is a licensed agent in 53 states, and is a registered principal with FINRA. Rick specializes in financial planning and investment advisory services.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
AZ
11/10/2010 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
IL
04/13/2004 - 01/25/2007
LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)
MN
04/21/1998 - 01/23/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/21/1998 - 01/23/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 11/12/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/01/2019
Series 24 - General Securities Principal Examination
BC
Issued 05/01/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/26/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2010
Series 7 - General Securities Representative Examination
BC
Issued 04/20/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Rick Johnson is the right advisor for you? Invested Better is here to help.
