Richard E Johnson

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2006-01-09
CA	RA	APPROVED	2003-10-22

TX RA
APPROVED_RES

Since 2006-01-09
CA RA
APPROVED

Since 2003-10-22

Branch Locations

3500 E Sunrise Dr, Tucson, AZ 85718 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Tucson	AZ	10/2003	Present
Bank Of America, N.A.	Tucson	AZ	06/2011	Present

10/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tucson, AZ
06/2011 → Present

Bank Of America, N.A.

Tucson, AZ

Other Businesses

I*: 1815285 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Las Vegas, NV Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 05/15/2024 Number of Hours: 10 hrs annually Number of Hours during trading: 0 Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-10-16
S63	Uniform Securities Agent State Law Examination	1986-03-06

S66 Uniform Combined State Law Examination

2003-10-16
S63 Uniform Securities Agent State Law Examination

1986-03-06

Other Names

Rick Johnson
Richard Eric Johnson

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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