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Richard John Johnson

Stifel, Nicolaus & Company, Incorporated

Plymouth, MA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-02-05
  • CA RA
    APPROVED
    Since 2014-02-05

Branch Locations

18 Main Street Extension Suite 303, Plymouth, MA 02360 • 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
Stifel Nicolaus & Co Inc Boston MA 10/2009 Present
  • 10/2009 → Present
    Stifel Nicolaus & Co Inc
    Boston, MA
Previous Registrations
  • 2002-12-17 → 2005-02-28
    Morgan Stanley Dw Inc.
    Boston, MA
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-11-06
S63 Uniform Securities Agent State Law Examination 1990-04-02
  • S65 Uniform Investment Adviser Law Examination
    2009-11-06
  • S63 Uniform Securities Agent State Law Examination
    1990-04-02

View on SEC IAPD

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Other Offices

SHP WEALTH MANAGEMENT, LLC · PLYMOUTH, MA
EDWARD JONES · PLYMOUTH, MA
INTEGRATED WEALTH CONCEPTS LLC · PLYMOUTH, MA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Plymouth, MA
CONDON WEALTH MANAGEMENT, INC. · PLYMOUTH, MA
AMERIPRISE FINANCIAL SERVICES, LLC · Plymouth, MA
LPL FINANCIAL LLC · PLYMOUTH, MA
FLAGSHIP HARBOR ADVISORS, LLC · Plymouth, MA

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