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Ryan William Johnson

CRD# 1063469·Registered 1982 - 2017
Previously Registered: Being a previously registered professional could mean that Ryan 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.

Professional Summary

Ryan William Johnson was a registered financial advisor. Ryan was a previously registered financial professional and started their career in finance 1982 - 2017. Ryan had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

41 years in the financial services industry

Current & Past Employments

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.·CRD# 148024
BD
Summit, NJ
October 28, 2016 - January 17, 2017
SECURITY DISTRIBUTORS·CRD# 3336
BD
Topeka, KS
March 11, 2013 - July 25, 2014
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.·CRD# 148024
BD
Rocky Hill, CT
February 28, 2011 - March 18, 2011
FORESIDE DISTRIBUTION SERVICES, L.P.·CRD# 15634
BD
Portland, ME
June 24, 2008 - January 30, 2009
FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
Canton, CT
April 25, 2006 - June 5, 2008
UNIFIED FINANCIAL SECURITIES, LLC·CRD# 7868
BD
Indianapolis, IN
November 23, 2005 - May 15, 2006
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.·CRD# 37819
BD
Hartford, CT
February 26, 2002 - November 26, 2003
HIMCO DISTRIBUTION SERVICES COMPANY·CRD# 6604
BD
Hartford, CT
July 9, 1999 - November 26, 2003
GUARDIAN INVESTOR SERVICES LLC·CRD# 6635
BD
New York, NY
February 5, 1987 - June 15, 1999
MONARCH FINANCIAL SERVICES, INC.·CRD# 8520
BD
January 22, 1986 - March 13, 1987
STRUCTURED SHELTERS SECURITIES, INC.·CRD# 10307
BD
September 2, 1982 - February 17, 1983

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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

Contact Information

Established

Delaware since 07/09/2008

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

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

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1987About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1995About the Series 24 exam

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CRS (Client Relationship Summary)

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

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