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Richard F Johnson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Antonio, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 1999-07-12
  • TX RA
    APPROVED
    Since 1999-07-12

Branch Locations

1803 Broadway St, San Antonio, TX 78215 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Antonio TX 07/1999 Present
Bank Of America, N.A. San Antonio TX 07/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-30
S63 Uniform Securities Agent State Law Examination 1997-08-29
  • S65 Uniform Investment Adviser Law Examination
    1997-09-30
  • S63 Uniform Securities Agent State Law Examination
    1997-08-29
Other Names
  • Rick Johnson
  • Richard Johnson
  • Richard Franklin Johnson

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN ANTONIO, TX
1900 WEALTH · SAN ANTONIO, TX
ROCKEFELLER FINANCIAL LLC · San Antonio, TX
PARK AVENUE SECURITIES LLC · SAN ANTONIO, TX
RBC CAPITAL MARKETS, LLC · SAN ANTONIO, TX
KESTRA ADVISORY SERVICES, LLC · San Antonio, TX
TITLEIST ASSET MANAGEMENT, LLC · San Antonio, TX
ULRICH INVESTMENT CONSULTANTS · San Antonio, TX

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