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Home > Financial Services > Stock Brokers > Johnson Rice & Company L.L.C.
Johnson Rice & Company L.L.C.
Johnson Rice & Company L.L.C is a member of NASD, the National Association of Securities Dealers. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Johnson Rice & Company was founded in 1987 by E. Douglas Johnson, Jr. and Timothy J. Rice as an institutional research and sales firm. Initially focused on the energy industry, over the past 5 years, Johnson Rice has methodically added select industries to its coverage list.
The Investment banking department was founded in 1991 in order to complement their research and sales efforts. Since then, Johnson Rice has been involved in over $6 billion in capital transactions.
The Company is committed to safeguarding the interests of their clients and customers in the event of an emergency or significant business disruption. This Business Continuity Plan Disclosure summarizes Johnson Rice’s effort to mitigate risks inherent with unforeseen business interruptions. The Firm’s comprehensive business continuity strategy is designed to enable them to meet their existing obligations to the clients and customers even in the event of an emergency or significant business disruption.
The BCP is designed to address significant business disruptions of varying scope including, but not limited to Johnson Rice only business disruption, Disruption to a single building in which Johnson Rice business is conducted, Disruption to a business district in which Johnson Rice business is conducted, City-wide business disruption, and Regional disruption.
The Company has one information technology processing and backup site that will provide the redundancy required to protect the firm’s books and records, balance sheet and capital, and provide business continuity and client protection. The recovery capability for certain of the firm’s mission critical processing capabilities is achieved through the use of a specialized vendor facility that provides disaster recovery services to many large corporations. Recovery times for mission critical systems range between real time recovery and 4 to 12 hours.
Johnson Rice maintains a backup trading and operations center located in Dallas, Texas. In the event that they are unable to access their primary facility, it may be necessary to relocate certain personnel to the backup site. The functionality of the backup facility is routinely tested by sales, trading and operations personnel.
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