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RJ

Ryan W. Johnson

Some features on this profile are disabled
CRD#: 1063469
RJ

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.

Ryan William Johnson was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 1982. Ryan had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

October 28, 2016 - January 17, 2017

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

BD
CRD#: 148024
SUMMIT, NJ
Past

March 11, 2013 - July 25, 2014

SECURITY DISTRIBUTORS

BD
CRD#: 3336
TOPEKA, KS
Past

February 28, 2011 - March 18, 2011

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

BD
CRD#: 148024
ROCKY HILL, CT
Past

June 24, 2008 - January 30, 2009

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

April 25, 2006 - June 5, 2008

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
CANTON, CT
Past

November 23, 2005 - May 15, 2006

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

February 26, 2002 - November 26, 2003

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
HARTFORD, CT
Past

July 9, 1999 - November 26, 2003

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

February 5, 1987 - June 15, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

January 22, 1986 - March 13, 1987

MONARCH FINANCIAL SERVICES, INC.

BD
CRD#: 8520
Past

September 2, 1982 - February 17, 1983

STRUCTURED SHELTERS SECURITIES, INC.

BD
CRD#: 10307

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: 9/30/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/6/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/27/1995
General Securities Principal Examination

Current Firm

SF
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
FUTURITY FIRST INVESTMENT SERVICES INC. | SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

CRD#: 148024 / SEC#: , 8-67957

BD
Terminated by SEC on 12/26/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
EBMEIER, MICHAEL HENRYPRESIDENT1794974
MARGOLIES, JARED LANCECHIEF COMPLIANCE OFFICER3201712
PETERS, ROBERT WILLIAMPRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER1704577

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.

Company Information

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

CRD#: 148024

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