Scott F. Johnson

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CRD#: 1004724

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott Frank Johnson was a registered financial advisor .

Scott is a previously registered financial advisor and started their career in finance in 1981. Scott had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 22, 2006 - September 8, 2009

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

November 7, 2005 - September 8, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

September 15, 2005 - April 22, 2006

TD AMERITRADE CLEARING, INC.

CRD#: 5633

FORT WORTH, TX

Past

April 4, 2005 - April 12, 2005

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

January 10, 2003 - December 10, 2004

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

December 7, 2000 - December 4, 2002

FINTEGRA, LLC

CRD#: 16741

MINNEAPOLIS, MN

Past

June 14, 2000 - December 13, 2000

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

December 15, 1998 - June 14, 2000

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

July 9, 1997 - October 21, 1998

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

May 18, 1987 - November 1, 1991

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

April 11, 1985 - April 4, 1986

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Past

August 26, 1982 - January 27, 1984

LEHMAN BROTHERS INC.

CRD#: 7506

Past

October 28, 1981 - June 11, 1982

DICKINSON & CO.

CRD#: 689

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/25/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/25/1997

General Securities Principal Examination

Current Firm

TD AMERITRADE, INC.

TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

Terminated by SEC on 09/17/2024

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Contact information

Main Address

200 South 108th Avenue, Omaha, NE 68154

Mailing Address

Phone number

(800) 669-3900

Established

New York since 09/29/1978

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

5,840

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TD AMERITRADE ONLINE HOLDINGS LLC.	OWNER
KONOP, LYNN MARIE	CHIEF COMPLIANCE OFFICER - BD	1216310
KOSTULIAS, JAMES ROBERT	PRESIDENT	3091009
STARR, JEFFREY HAROLD	MANAGING DIRECTOR, OPERATIONS	4700461
THOMPSON, AARON MARK	CHIEF FINANCIAL OFFICER/FINOP	6483170

Disclosures

Regulatory Event	79
Civil Event	1
Arbitration	145

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Scott F. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE CLEARING, INC.

CUNA BROKERAGE SERVICES, INC.

INVESTMENT CENTERS OF AMERICA, INC.

FINTEGRA, LLC

NATHAN & LEWIS SECURITIES, INC.

GUARANTY BROKERAGE SERVICES, INC.

GUARANTY BROKERAGE SERVICES, INC.

MARKETING ONE SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

LEHMAN BROTHERS INC.

DICKINSON & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/2005

Series 63

Date: 7/3/1997

Series 7

Date: 6/25/1997

Series 24

Date: 11/25/1997

Current Firm

TD AMERITRADE, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD AMERITRADE, INC.

TRUST BUT VERIFY

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