LJ
Larry W. Johnson
AUSDAL FINANCIAL PARTNERS
St. Charles, IL
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CRD#: 1060424
LJ
Professional summary
Larry Wayne Johnson, CFP® is a registered financial advisor currently at AUSDAL FINANCIAL PARTNERS, INC. located in St. Charles, Illinois.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Larry has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.PALLET RECYCLING BUSINESSES, Belvidere, IL. THESE ARE FOR PROFIT BUSINESS OPERATIONS. BUSINESS NAMES ARE CRAWFORD COUNTY PALLETS; INDUSTRIAL WOOD PRODUCTS; M & M PALTECH AND PALTECH ENTERPRISES, INC. Owner since 3/29/2010; APPX -1-2 HOURS PER MONTH ARE SPENT ON THESE OPERATIONS. NONE DURING TRADING HOURS. This is not an investment related activity. Compensation is monthly salary/stipend provided--generally no additional profits to share in. 2. ARGENT CONSULTING; TAX PURPOSES ONLY; RECEIVES 1099 COMMISSIONS SO THAT A W2 IS PRODUCED AT YEAR END. NO TIME IS SPENT. USED FOR ADMINISTRATIVE PURPOSES. 3. LAKADA FARM ALPACAS, St. Charles, IL. Owner since 2/2012. This is a farm business raising alpacas. This business is pretty much inactive at this point and there are no revenues. Less than 5 hours a month are devoted to this activity of which none are during trading hours. This is not an investment related activity. 4. ICL LEASING, LLC, Naples, FL - Owner of a company that owns fitness equipment that leases to fitness companies. These are leased only to the companies that are owned by the Registered Rep. Began in March 2012. 1 HOUR PER MONTH IS SPENT ON THIS ACTIVITY of which none during trading hours. COMPENSATION IS PROFIT FROM OPERATION. 5.BE FIT MGMT CORP, Ottawa, IL. OWNER OF ANYTIME FITNESS CLUB IN OTTAWA, IL; BEGAN 04/2014; Owner of Anytime Fitness-no extensive duties in running the day to day business. DEVOTE LESS THAN 5 HOURS PER MONTH none during trading hours; NON INVESTMENT RELATED;COMPENSATION IS PROFIT ONLY. 6. 1035 FITNESS; OWNER OF ANYTIME FITNESS CLUB IN PERU, IL; BEGAN 03/2012; DEVOTE LESS THAN 5 HOURS PER MONTH, none during trading hours; NON INVESTMENT RELATED; COMPENSATION IS PROFIT ONLY 7. DREW FITNESS (DBA: ANYTIME FITNESS); SANDWICH, IL; NON-INVESTMENT RELATED; FITNESS CLUB; PARTIAL OWNER; ACTIVITY BEGAN 12/2016; I DEVOTE APPX 4 HOURS TO THIS BUSINESS WITH NONE DURING TRADING HOURS; COMPENSATION IS IN THE FORM OF PROFIT. 8. LARRY W JOHNSON; INVESTMENT RELATED; NAPLES, FL; SALE OF VARIOUS INSURANCE PRODUCTS; AGENT; ACTIVITY BEGAN 04/1983; I DEVOTE APPX 1 HOUR PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; PROVIDE INSURANCE TO CLIENTS AS NEEDED. 9. STERLING FINANCIAL ADVISORY SERVICES, INC; INVESTMENT RELATED; ST CHARLES, IL; CORPORATION; OWNER/PRESIDENT; ACTIVITY BEGAN 07/1986; I DEVOTE 4 HOURS TO THIS BUSINESS ALL DURING TRADING HOURS; MAINTAIN GOOD STANDING OF THE CORPORATION. 10. KLUTCH SPIRITS; NON-INVESTMENT RELATED; ESTERO, FL; HAND CRAFTED VODKA; SHAREHOLDER; ACTIVITY BEGAN MAY 2022; I DEVOTE APPX. 10 HOURS TO THIS ACTIVITY PER MONTH WITH 5 OF THOSE HOURS DURING TRADING HOURS; DISTRIBUTION AND ALLOCATION OF HANDCRAFTED VODKA. 11. AUSDAL FINANCIAL PARTNERS, INC; INVESTMENT RELATED; DAVENPORT, IA; BD AND RIA; CHAIRMAN OF THE BOARD AND SHAREHOLDER; ACTIVITY BEGAN 01/2023; I DEVOTE APPX 15 HOURS PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; SHAREHOLDER OF AUSDAL AND CHAIRMAN OF THE BOARD. 12. 3425 E DREW, LLC; NOT INVESTMENT RELATED; NAPLES, FL; REAL ESTATE RENTAL; MANAGING MEMBER; ACTIVITY BEGAN IN 12/2024; I DEVOTE ONE HOUR PER MONTH WITH NO TIME DURING TRADING HOURS; LANDLORD OBLIGATIONS, LEASE NEGOTIATIONS AND MAINTENANCE OF PROPERTY. 13. LARRY JOHNSON; NOT INVESTMENT RELATED; BROWNSBURG, IN; REAL ESTATE INVESTMENT; OWNER; ACTIVITY BEGAN 10/2025; I DEVOTE ONE HOUR TO THIS ACTIVITY DURING TRADING HOURS; OWNER OF REAL ESTATE.
CRS (Client Relationship Summary) - RIA
Click below to view Larry Wayne Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Larry Wayne Johnson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 1, 2019 - Present
AUSDAL FINANCIAL PARTNERS, INC.
RIA
BD
CRD#: 7995
St. Charles, IL
Current
February 17, 2015 - Present
AUSDAL FINANCIAL PARTNERS, INC.
RIA
BD
CRD#: 7995
St. Charles, IL
Past
September 8, 2009 - February 20, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
ITASCA, IL
Past
September 8, 2009 - February 20, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
ITASCA, IL
Past
January 2, 2004 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
ITASCA, IL
Past
April 12, 1998 - January 12, 2021
STERLING FINANCIAL ADVISORY SERVICES, INC.
RIA
CRD#: 123552
ITASCA, IL
Past
February 26, 1998 - December 31, 2008
HERITAGE CAPITAL MANAGEMENT INC
RIA
CRD#: 110383
ITASCA, IL
Past
February 24, 1998 - December 31, 2003
STERLING PORTFOLIO ALLOCATION SERVICE INC
RIA
CRD#: 110796
ITASCA, IL
Past
May 13, 1985 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
ITASCA, IL
Past
November 30, 1982 - April 30, 1986
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AUSDAL FINANCIAL PARTNERS, INC.
1ST INSURANCE AGENCY | WPF WEALTH MANAGEMENT | WILSON WEALTH MANAGEMENT | WILSON CAPITAL MANAGEMENT | WILLY MIRANDA | WENGER FINANCIAL GROUP | WEALTH QC | WEALTH ADVISORS FINANCIAL GROUP, INC | WEALTH ADVISORS FINANCIAL GROUP | WATERSEED WEALTH MANAGEMENT | TOWER FINANCIAL MANAGEMENT COMPANY | TK FINANCIAL | TJ SULLIVAN & COMPANY | TIMBERLAND FINANCIAL GROUP | THOMAS G. SCHAEFER & ASSOCIATES | THE WENSTRUP COMPANY | THE SERPE INSURANCE AGENCY | THE ONLY CORNERSTONE | THE MCCAUSLAND GROUP | THE LANCASTER COMPANY | THE CF PARTNERS | STRAUTS CAPITAL MANAGEMENT | STRATEGIC FINANCIAL PLANNING | STERLING FINANCIAL ADVISORY SERVICES | SMITH INS & FINANCIAL | SLJ FINANCIAL | SILVER BIRCH CAPITAL ADVISORS | SHAMROCK FINANCIAL PLANNING | SEMRAU WEALTH STRATEGIES | SEABREEZE WEALTH MANAGEMENT | SCHNEIDER CONSULTANTS | SCHMIDT WEALTH MANAGEMENT | SBS STAR | SAN DIEGO FINANCIAL | SALTIEL WEALTH MANAGEMENT | SAFE HARBOR RETIREMENT CONSULTANTS | ROBERT B. AUSDAL & CO. INC. | RIVERSTONE ASSET MANAGEMENT | RETIREWELL USA | R-AXIS | Q C SECURE SOLUTIONS | PRAXIS CAPITAL AND INVESTMENT MANAGEMENT | PAXTON FINANCIAL SERVICES | PASSPORT WEALTH MANAGEMENT | OCEAN CREST WEALTH MANAGEMENT | NEWMAN & ASSOCIATES | NESTON WEALTH MANAGEMENT | MISSION CRITICAL FPI | MINT HILL WEALTH | MCLEMORE FINANCIAL | MCCAUSLAND GROUP | MBC INSURANCE GROUP | M. BROWN FINANCIAL ADVISORS | LICHTFUSS FINANCIAL SERVICES | LEONARD DIGATE INCOME PLANNING | KVASNICKA & KNEIP | KRM FINANCIAL SERVICES | KENTWOOD HOLDINGS, INC | KARSTENSON FINANCIAL SERVICES | JULIAN FINANCIAL GROUP | JOAN K. JOHNSON FINANCIAL | JML THE LANCASTER CO | JANKOWSKI FINANCIAL SERVICES | INTERVEST INTERNATIONAL, INC. | INTERVEST INTERNATIONAL EQUITIES CORPORATION | INTEGRITY FINANCIAL STRATEGIES | INSIGNIA WEALTH MANAGEMENT | INDIANO & COMPANY CPA'S INC | HOMER FINANCIAL INC | HINSDALE CAPITAL INVESTMENTS | HERITAGE PARTNERS | HANSON FINANCIAL | HALL FINANCIAL PARTNERS | GREENWAY ADVISORS | GRANITE INVESTMENT SERVICE | GOLDEN TRIANGLE FINANCIAL | GOLDEN IVY ASSOCIATES | GILBERTSEN FINANCIAL GROUP | FROMM INVESTMENT MANAGEMENT | FROLICSTEIN FINANCIAL WEALTH MANAGEMENT | FREEDOM FINANCIAL GROUP | FOX VALLEY FINANCIAL | FIRST GEN PLANNING | FETTIG & ASSOCIATES | FARLEY FINANCIAL | ENGEL WEALTH MANAGEMENT | ELLEFSON AND ASSOCIATES | DURMENT FINANCIAL PLANNING | DOWLING LEGACY AND RETIREMENT | DENNIS A. LIPOFF, PH.D & ASSOCIATES, LTD | DENIM AND DIAMONDS FINANCIAL SOLUTIONS | DEAN JOHNSON ADVISORY | DAVIS WEALTH ADVISORS | DANIELS, ALEXANDER & DANIELS | CROSS WALK WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT GROUP, LLC | CLARITY GROUP MIDWEST | CHOICES FINANCIAL SERVICES | CHICAGO FINANCIAL ADVISORS | CARR WEALTH MANAGEMENT | CAPITAL BUSINESS STRATEGIES | C&C ASSET MANAGEMENT | BURGOYNE WEALTH MANAGEMENT | BIG TIMBER WEALTH MANAGEMENT | BEVERLY CURMANSKIE FINANCIAL, LLC | BERMAN CAPITAL MANAGEMENT AND RESEARCH | BCH WEALTH MANAGEMENT | BATLINER AND ASSOCIATES | B & N FINANCIAL | AUSDAL FINANCIAL PARTNERS, INC. | ARMOUR CAPITAL, LLC | ARBLASTER CONSULTING | APERATURE WEALTH PARTNERS | AMERICAN IRA ADVISOR | ALBERTS WEALTH ADVISORS, LLC
CRD#: 7995 / SEC#: 801-69266, 8-24519
RIA
Registered Investment Advisory firm - SEC (6/5/2008 Approved)California
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Illinois
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/6/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(5/1/2023)
RR
Arkansas(5/9/2023)
RR
Colorado(4/14/2025)
RR
Florida(6/9/2015)
IAR
Florida(1/8/2020)
RR
Illinois(2/17/2015)
IAR
Illinois(8/1/2019)
RR
Indiana(2/17/2015)
RR
Michigan(12/21/2015)
RR
Minnesota(4/18/2025)
RR
Ohio(4/13/2015)
RR
Wisconsin(4/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AUSDAL FINANCIAL PARTNERS, INC.
1ST INSURANCE AGENCY | WPF WEALTH MANAGEMENT | WILSON WEALTH MANAGEMENT | WILSON CAPITAL MANAGEMENT | WILLY MIRANDA | WENGER FINANCIAL GROUP | WEALTH QC | WEALTH ADVISORS FINANCIAL GROUP, INC | WEALTH ADVISORS FINANCIAL GROUP | WATERSEED WEALTH MANAGEMENT | TOWER FINANCIAL MANAGEMENT COMPANY | TK FINANCIAL | TJ SULLIVAN & COMPANY | TIMBERLAND FINANCIAL GROUP | THOMAS G. SCHAEFER & ASSOCIATES | THE WENSTRUP COMPANY | THE SERPE INSURANCE AGENCY | THE ONLY CORNERSTONE | THE MCCAUSLAND GROUP | THE LANCASTER COMPANY | THE CF PARTNERS | STRAUTS CAPITAL MANAGEMENT | STRATEGIC FINANCIAL PLANNING | STERLING FINANCIAL ADVISORY SERVICES | SMITH INS & FINANCIAL | SLJ FINANCIAL | SILVER BIRCH CAPITAL ADVISORS | SHAMROCK FINANCIAL PLANNING | SEMRAU WEALTH STRATEGIES | SEABREEZE WEALTH MANAGEMENT | SCHNEIDER CONSULTANTS | SCHMIDT WEALTH MANAGEMENT | SBS STAR | SAN DIEGO FINANCIAL | SALTIEL WEALTH MANAGEMENT | SAFE HARBOR RETIREMENT CONSULTANTS | ROBERT B. AUSDAL & CO. INC. | RIVERSTONE ASSET MANAGEMENT | RETIREWELL USA | R-AXIS | Q C SECURE SOLUTIONS | PRAXIS CAPITAL AND INVESTMENT MANAGEMENT | PAXTON FINANCIAL SERVICES | PASSPORT WEALTH MANAGEMENT | OCEAN CREST WEALTH MANAGEMENT | NEWMAN & ASSOCIATES | NESTON WEALTH MANAGEMENT | MISSION CRITICAL FPI | MINT HILL WEALTH | MCLEMORE FINANCIAL | MCCAUSLAND GROUP | MBC INSURANCE GROUP | M. BROWN FINANCIAL ADVISORS | LICHTFUSS FINANCIAL SERVICES | LEONARD DIGATE INCOME PLANNING | KVASNICKA & KNEIP | KRM FINANCIAL SERVICES | KENTWOOD HOLDINGS, INC | KARSTENSON FINANCIAL SERVICES | JULIAN FINANCIAL GROUP | JOAN K. JOHNSON FINANCIAL | JML THE LANCASTER CO | JANKOWSKI FINANCIAL SERVICES | INTERVEST INTERNATIONAL, INC. | INTERVEST INTERNATIONAL EQUITIES CORPORATION | INTEGRITY FINANCIAL STRATEGIES | INSIGNIA WEALTH MANAGEMENT | INDIANO & COMPANY CPA'S INC | HOMER FINANCIAL INC | HINSDALE CAPITAL INVESTMENTS | HERITAGE PARTNERS | HANSON FINANCIAL | HALL FINANCIAL PARTNERS | GREENWAY ADVISORS | GRANITE INVESTMENT SERVICE | GOLDEN TRIANGLE FINANCIAL | GOLDEN IVY ASSOCIATES | GILBERTSEN FINANCIAL GROUP | FROMM INVESTMENT MANAGEMENT | FROLICSTEIN FINANCIAL WEALTH MANAGEMENT | FREEDOM FINANCIAL GROUP | FOX VALLEY FINANCIAL | FIRST GEN PLANNING | FETTIG & ASSOCIATES | FARLEY FINANCIAL | ENGEL WEALTH MANAGEMENT | ELLEFSON AND ASSOCIATES | DURMENT FINANCIAL PLANNING | DOWLING LEGACY AND RETIREMENT | DENNIS A. LIPOFF, PH.D & ASSOCIATES, LTD | DENIM AND DIAMONDS FINANCIAL SOLUTIONS | DEAN JOHNSON ADVISORY | DAVIS WEALTH ADVISORS | DANIELS, ALEXANDER & DANIELS | CROSS WALK WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT GROUP, LLC | CLARITY GROUP MIDWEST | CHOICES FINANCIAL SERVICES | CHICAGO FINANCIAL ADVISORS | CARR WEALTH MANAGEMENT | CAPITAL BUSINESS STRATEGIES | C&C ASSET MANAGEMENT | BURGOYNE WEALTH MANAGEMENT | BIG TIMBER WEALTH MANAGEMENT | BEVERLY CURMANSKIE FINANCIAL, LLC | BERMAN CAPITAL MANAGEMENT AND RESEARCH | BCH WEALTH MANAGEMENT | BATLINER AND ASSOCIATES | B & N FINANCIAL | AUSDAL FINANCIAL PARTNERS, INC. | ARMOUR CAPITAL, LLC | ARBLASTER CONSULTING | APERATURE WEALTH PARTNERS | AMERICAN IRA ADVISOR | ALBERTS WEALTH ADVISORS, LLC
CRD#: 7995 / SEC#: 801-69266, 8-24519
RIA
Registered Investment Advisory firm - SEC (6/5/2008 Approved)California
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Illinois
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/6/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
5187 Utica Ridge Rd, Davenport, IA 52807
Mailing Address
5187 Utica Ridge Rd, Davenport, IA 52807
Phone number
(563) 326-2064
Established
Iowa since 08/13/1979
Firm type
Corporation
Fiscal year end
January
Firm Size
Medium
# of Employees
405
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AFP HOLDCO, LLC | SHAREHOLDER | |
| HICKS, JOHN BRYAN | SHAREHOLDER,VICE PRESIDENT, BOARD MEMBER | |
| ROBERTS, DAVID BRUCE | VICE PRESIDENT, SHAREHOLDER, BOARD MEMBER | |
| SHUMBERG, IVANA M | FINOP | 3167225 |
| SIMPSON, JAMES JEFFERSON | SHAREHOLDER, CEO, BOARD MEMBER | 2204191 |
| WESTCOMB, NATHAN DAVID | CHIEF COMPLIANCE OFFICER | 6342420 |
Regulatory assets under management
| Total Number of Accounts | 10,402 |
| AUM (Assets Under Management) | $ 2,134,630,563 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 04/08/2024 | ||
| 01/31/2023 |
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.
