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Richard E Johnson

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Tucson, AZCRD #1466311Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
31 states
Exams Passed
11

Registrations & licenses

Registration type
Dual-registered
Registered in 31 states
AlabamaArizonaArkansasCaliforniaColoradoFloridaGeorgiaIdahoIllinoisIndianaKentuckyMaineMassachusettsMichiganMinnesotaMissouriMontanaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaTennesseeTexasVirginiaWashingtonWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/16/2003
Series 63
Uniform Securities Agent State Law Examination
Passed 3/6/1986
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 2/7/2005
Series 7
General Securities Representative Examination
Passed 10/19/1995
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/6/1986
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 7/8/2013
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 6/3/2013
Series 51
Municipal Fund Securities Principal Examination
Passed 4/21/2003
Series 24
General Securities Principal Examination
Passed 3/21/1996
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 12/1/1987

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/22/2003Tucson, AZ
FIRST INVESTORS CORPORATION
3/7/198610/8/2003Edison, NJ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard E Johnson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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